John T. Whalen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Thomas Whalen, who also goes by Jack Whalen, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2000. John had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2008 - December 31, 2019
J.D. KEITH & ASSOCIATES, LLC
June 13, 2003 - July 31, 2007
PURSHE KAPLAN STERLING INVESTMENTS
March 7, 2003 - October 15, 2008
PARSONS CAPITAL MANAGEMENT, LLC
February 11, 2000 - June 13, 2003
INVESTMENT ADVISORS & CONSULTANTS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
J.D. KEITH & ASSOCIATES, LLC
CRD#: 146490 / SEC#:
Contact information
Red Flags
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