Sean D. Whalen

STRATEGIC WEALTH MANAGEMENT LLC

SOUTH NATICK, MA 01760

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CRD#: 4000934

Professional summary

Sean David Whalen, CFP® is a registered financial advisor currently at STRATEGIC WEALTH MANAGEMENT LLC located in South Natick, Massachusetts and DAI SECURITIES, LLC located in Natick, Massachusetts.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Sean has worked at 12 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) Home rental property; Not investment related; Natick, MA; owner of a multi-family house where I rent and manage the property; 10/2005; 1-5 hours/month during trading hours. 2) Strategic Wealth Management, LLC. Investment-related. South Natick, MA. Managing Director & Wealth Manager, advisory business & wealth management. 6-10 hours/month during non-business hours, 21-40 hours/month during business hours; RIA that manages investments for individual clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean David Whalen'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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

September 9, 2025 - Present

STRATEGIC WEALTH MANAGEMENT LLC

Office #1: 8 Pleasant St 2b, South Natick, MA 01760

RIA

CRD#: 335792

SOUTH NATICK, MA

Current

September 28, 2025 - Present

DAI SECURITIES, LLC

Office #1: 8 Pleasant Street Unit 2b, Natick, MA 01760

CRD#: 36673

NATICK, MA

Past

August 19, 2025 - September 26, 2025

CONCORDE ASSET MANAGEMENT, LLC

RIA

CRD#: 140367

S. Natick, MA

Past

August 5, 2025 - September 26, 2025

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

South Natick, MA

Past

May 29, 2018 - July 25, 2025

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

Natick, MA

Past

February 28, 2018 - May 24, 2018

TRIAD ADVISORS LLC

CRD#: 25803

NATICK, MA

Past

February 12, 2018 - July 25, 2025

ASSET STRATEGY ADVISORS, LLC

RIA

CRD#: 139879

NATICK, MA

Past

August 5, 2017 - February 14, 2018

RADIUS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 131339

CONCORD, MA

Past

September 26, 2012 - June 28, 2017

SANTANDER SECURITIES LLC

RIA

CRD#: 41791

DORCHESTER, MA

Past

September 19, 2012 - June 28, 2017

SANTANDER SECURITIES LLC

CRD#: 41791

DORCHESTER, MA

Past

June 23, 2011 - September 19, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

BOSTON, MA

Past

May 27, 2008 - September 19, 2012

LPL FINANCIAL LLC

CRD#: 6413

BOSTON, MA

Past

August 8, 2006 - May 27, 2008

IFMG SECURITIES, INC.

CRD#: 14416

BOSTON, MA

Past

February 9, 2001 - October 6, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 3, 1999 - February 5, 2001

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

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.

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

Arizona
(9/28/2025)

California
(9/28/2025)

Colorado
(9/28/2025)

Connecticut
(9/28/2025)

Delaware
(9/28/2025)

District of Columbia
(9/28/2025)

Florida
(9/28/2025)

IAR

Florida
(11/7/2025)

Georgia
(9/28/2025)

Maine
(9/28/2025)

Maryland
(9/28/2025)

IAR

Massachusetts
(9/9/2025)

Massachusetts
(9/28/2025)

Missouri
(9/28/2025)

New Hampshire
(9/28/2025)

New Jersey
(9/28/2025)

New Mexico
(9/28/2025)

New York
(9/28/2025)

North Carolina
(9/28/2025)

Rhode Island
(9/28/2025)

South Carolina
(11/10/2025)

Texas
(9/28/2025)

IAR

Texas
(10/28/2025)

Vermont
(9/28/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/26/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/15/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 9/8/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/9/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/23/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/27/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STRATEGIC WEALTH MANAGEMENT LLC

STRATEGIC WEALTH MANAGEMENT LLC | STRATEGIC WEALTH MANAGEMENT, LLC

CRD#: 335792 / SEC#:

Florida

Registered Investment Advisory firm - (11/7/2025 Approved)

Massachusetts

Registered Investment Advisory firm - (8/26/2025 Approved)

Texas

Registered Investment Advisory firm - (10/7/2025 Conditional Restricted)

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Contact information

Main Address

8 Pleasant St 2b, South Natick, MA 01760

Mailing Address

Phone number

(508) 654-5562

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Advisor Monitoring

Firm Stability Insights

Sean D. Whalen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

DAI SECURITIES, LLC

CONCORDE ASSET MANAGEMENT, LLC

CONCORDE INVESTMENT SERVICES, LLC

CONCORDE INVESTMENT SERVICES, LLC

TRIAD ADVISORS LLC

ASSET STRATEGY ADVISORS, LLC

RADIUS CAPITAL MANAGEMENT, LLC

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

IFMG SECURITIES, INC.

MORGAN STANLEY DW INC.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/26/2002

Series 63

Date: 9/15/1999

Series 99TO

Date: 9/8/2023

SIE

Date: 10/1/2018

Series 31

Date: 4/9/2004

Series 7

Date: 8/23/1999

Series 24

Date: 3/27/2013

FINRA

Current Firm

STRATEGIC WEALTH MANAGEMENT LLC

Contact information

Documents

Red Flags

Company Information

STRATEGIC WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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