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AF

Andrea K. Finger

WHELAN ADVISORY CAPITAL MARKETS
BOCA RATON, FL
Some features on this profile are disabled
CRD#: 2907328
AF

Professional summary

Andrea Karin Finger is a registered financial professional currently at WHELAN ADVISORY CAPITAL MARKETS, LLC located in Boca Raton, Florida.

Andrea is registered as a RR (Registered Representative) and started their career in finance in 1999. Andrea has worked at 2 firms and has passed the Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrea Karin Finger's 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

December 19, 2022 - Present

WHELAN ADVISORY CAPITAL MARKETS, LLC

BD
CRD#: 312814
BOCA RATON, FL
Past

April 15, 1999 - May 15, 2001

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 79TO
Date: 12/19/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/26/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/14/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WA
WHELAN ADVISORY CAPITAL MARKETS, LLC
WHELAN ADVISORY CAPITAL MARKETS, LLC | WHELAN ADVISORY, LLC

CRD#: 312814 / SEC#: , 8-70672

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

Main Address
8600 Twin Lake Drive, Boca Raton, FL 33496
Mailing Address
8600 Twin Lake Drive, Boca Raton, FL 33496
Phone number
(917) 981-7539
Established
New York since 01/27/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
WHELAN, MARGARET MARYCEO/FOUNDER2919823
PORTWOOD, WILLIAM BOYCECFO/FINOP/PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER4853700

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

WHELAN ADVISORY CAPITAL MARKETS, LLC

CRD#: 312814Boca Raton, FL

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