Margaret Mary Whelan
Professional Summary
Margaret Mary Whelan, who also goes by Margaret M Whelan, is a registered financial advisor currently at WHELAN ADVISORY CAPITAL MARKETS, LLC located in Boca Raton, Florida. Margaret is registered as a RR (Registered Representative) and started their career in finance in 1998. Margaret has worked at 6 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Margaret M Whelan
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
WHELAN ADVISORY CAPITAL MARKETS, LLC | WHELAN ADVISORY, LLC
Contact Information
Main Address
8600 Twin Lake Drive, Boca Raton, FL 33496Mailing Address
8600 Twin Lake Drive, Boca Raton, FL 33496Phone Number
(917) 981-7539Established
New York since 01/27/2021Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(9/7/2021)
(9/16/2021)
(9/14/2021)
(9/1/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Dec 2004About the Series 87 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Margaret Mary Whelan's CRS (Customer Relationship Summary).
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