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BW

Brad Whalen

GREEN VISTA CAPITAL
Winter Park, FL 32789
Some features on this profile are disabled
CRD#: 2582276
BW

Professional summary

Brad Whalen, who also goes by Brad Steven Whalen, is a registered financial professional currently at GREEN VISTA CAPITAL, LLC located in Winter Park, Florida.

Brad is registered as a RR (Registered Representative) and started their career in finance in 1995. Brad has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brad Steven Whalen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brad Whalen's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 27, 2018 - Present

GREEN VISTA CAPITAL, LLC

Office #1: 222 N. Park Avenue, Winter Park, FL 32789
BD
CRD#: 293630
Winter Park, FL
Past

September 20, 2018 - September 17, 2020

GREEN VISTA ASSET MANAGEMENT LLC

RIA
CRD#: 296855
WINTER PARK, FL
Past

July 30, 2015 - August 28, 2018

THE STRATEGIC FINANCIAL ALLIANCE, INC.

RIA
CRD#: 126514
Sanford, FL
Past

April 20, 2015 - August 28, 2018

THE STRATEGIC FINANCIAL ALLIANCE, INC.

BD
CRD#: 126514
Winter Park, FL
Past

September 10, 2010 - September 6, 2013

J.W. KORTH & COMPANY

BD
CRD#: 26455
ORLANDO, FL
Past

August 26, 2009 - August 31, 2010

TD AMERITRADE, INC.

RIA
CRD#: 7870
FORT WORTH, TX
Past

August 26, 2009 - August 31, 2010

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
FORT WORTH, TX
Past

August 20, 2009 - August 31, 2010

TD AMERITRADE, INC.

BD
CRD#: 7870
FORT WORTH, TX
Past

March 6, 2008 - July 31, 2009

HARRISDIRECT LLC

RIA
CRD#: 42159
ARLINGTON, VA
Past

March 6, 2008 - July 31, 2009

E*TRADE SECURITIES LLC

BD
CRD#: 29106
ROSEVILLE, CA
Past

February 28, 2007 - April 18, 2007

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
CORAL SPRINGS, FL
Past

September 15, 2003 - December 4, 2006

TD AMERITRADE, INC.

RIA
CRD#: 7870
ORLANDO, FL
Past

January 6, 1999 - December 4, 2006

TD AMERITRADE, INC.

BD
CRD#: 7870
ORLANDO, FL
Past

July 29, 1998 - December 21, 1998

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

February 28, 1995 - November 14, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(12/7/2022)
RR
Arizona
(8/27/2018)
RR
Arkansas
(8/27/2018)
RR
California
(8/27/2018)
RR
Florida
(8/27/2018)
RR
Illinois
(8/30/2018)
RR
Indiana
(9/5/2018)
RR
Kansas
(9/7/2018)
RR
Louisiana
(1/4/2024)
RR
Maryland
(8/27/2018)
RR
Missouri
(8/27/2018)
RR
Nebraska
(9/29/2021)
RR
Nevada
(9/21/2018)
RR
New Jersey
(8/27/2018)
RR
New Mexico
(8/27/2018)
RR
New York
(8/27/2018)
RR
North Carolina
(8/27/2018)
RR
Ohio
(8/27/2018)
RR
Oklahoma
(8/27/2018)
RR
Pennsylvania
(8/27/2018)
RR
South Carolina
(8/27/2018)
RR
Texas
(8/27/2018)
RR
Virginia
(8/30/2018)
RR
Wisconsin
(8/27/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/29/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/3/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/28/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GV
GREEN VISTA CAPITAL, LLC
GREEN VISTA CAPITAL, LLC

CRD#: 293630 / SEC#: , 8-70101

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
222 N. Park Avenue, Winter Park, FL 32789
Mailing Address
222 N. Park Avenue, Winter Park, FL 32789
Phone number
(407) 878-1215
Established
Florida since 12/01/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GREEN VISTA HOLDINGS, LLCMEMBER
BEYTELL, PHILIP LAURIEFINOP4828145
VAN STADEN, PHILIPPUS THEUNISCHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER AND MANAGER4489166

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

GREEN VISTA CAPITAL, LLC

CRD#: 293630Winter Park, FL 32789

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