Terence R. 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.
Terence R Whalen was a registered financial professional .
Terence is a previously registered financial professional and started their career in finance in 2000. Terence had worked at 4 firms and has passed the Series 63, Series 87, Series 86 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
June 10, 2014 - July 16, 2014
HOULIHAN LOKEY ADVISORS, LLC
April 16, 2004 - June 20, 2014
CITIGROUP GLOBAL MARKETS INC.
September 5, 2002 - April 1, 2004
PIPER SANDLER & CO.
October 18, 2000 - August 19, 2002
ROBERTSON STEPHENS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
HOULIHAN LOKEY ADVISORS, LLC
CRD#: 127835 / SEC#: , 8-66065
Contact information
Documents
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.
