Landon D. Whaley
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.
Landon Drew Whaley was a registered financial professional .
Landon is a previously registered financial professional and started their career in finance in 2000. Landon had worked at 5 firms and has passed the Series 66, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2009 - March 27, 2023
WHALEY CAPITAL GROUP, LLC
June 1, 2009 - August 5, 2009
MORGAN STANLEY
June 1, 2009 - August 5, 2009
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 26, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
November 26, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
November 8, 2000 - November 30, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2000 - November 30, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WHALEY CAPITAL GROUP, LLC
CRD#: 151600 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 892,735 |
Red Flags
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