Michael J. Whalen

SABRE ASSET MANAGEMENT

PEPPER PIKE, OH 44122

Some features on this profile are disabled

CRD#: 2800915

Professional summary

Michael John Whalen is a registered financial advisor currently at SABRE ASSET MANAGEMENT LLC located in Pepper Pike, Ohio.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

At a Glance

Always Fiduciary

Aliases

None

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.

OLEINICK FINANCIAL; NON-INVESTMENT RELATED; CLEVELAND, OH; 2/10/2014- PRESENT; SUPPORT COMPANY, EMPLOYEE; 0 HRS/MONTH, 0 HRS DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John 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

June 15, 2017 - Present

SABRE ASSET MANAGEMENT LLC

Office #1: 29525 Chagrin Blvd., Suite 302, Pepper Pike, OH 44122

RIA

CRD#: 288889

PEPPER PIKE, OH

Past

January 2, 2009 - June 16, 2017

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

CLEVELAND, OH

Past

November 24, 2008 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

CLEVELAND, OH

Past

November 14, 2008 - June 16, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CLEVELAND, OH

Past

August 29, 2005 - November 20, 2008

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

CLEVELAND, OH

Past

August 16, 2005 - November 20, 2008

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

CLEVELAND, OH

Past

May 13, 1999 - August 29, 2005

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BEACHWOOD, OH

Past

October 28, 1996 - August 29, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SABRE ASSET MANAGEMENT LLC

CRD#: 288889 / SEC#: 801-136990

RIA

Registered Investment Advisory firm - (8/5/2026 Approved)

Ohio

Registered Investment Advisory firm - (9/11/2026 Terminated)

Texas

Registered Investment Advisory firm - (9/10/2026 Termination Requested)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(6/15/2017)

IAR

Texas
(10/28/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

What does exam status mean?

State Security Law Exam

IAR

Series 65

Status Unavailable

Passed: 11/13/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 11/1/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 6/16/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Status Unavailable

Passed: 7/17/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 10/25/1996

General Securities Representative Examination

Current Firm

SABRE ASSET MANAGEMENT LLC

CRD#: 288889 / SEC#: 801-136990

RIA

Registered Investment Advisory firm - (8/5/2026 Approved)

Ohio

Registered Investment Advisory firm - (9/11/2026 Terminated)

Texas

Registered Investment Advisory firm - (9/10/2026 Termination Requested)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

29525 Chagrin Blvd., Suite 302, Pepper Pike, OH 44122

Mailing Address

Phone number

(216) 245-6622

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SABRE ASSET MANAGEMENT LLC FIRM BROCHURE PART 2A+2B DTD (9/10/2026)

Regulatory assets under management

Total Number of Accounts	376
AUM (Assets Under Management)	$ 127,339,006

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.

Similar Advisors

Boris Kagarlitskiy

KEY INVESTMENT SERVICES LLC

IAR

UNIVERSITY HEIGHTS, OH

Ashley Arsena

CLEVELAND WEALTH, LLC

IAR

CLEVELAND, OH

James Magyari

COMMONWEALTH FINANCIAL NETWORK

IAR

Solon, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael J. Whalen

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

SABRE ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Passed: 11/13/1996

Series 63

Passed: 11/1/1996

SIE

Passed: 6/16/2017

Series 31

Passed: 7/17/2003

Series 7

Passed: 10/25/1996

Current Firm

SABRE ASSET MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SABRE ASSET MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors