Courtney L. Whalum
Professional summary
Courtney Lynette Whalum was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Courtney is a previously registered financial advisor and started their career in finance in 2003. Prior to being barred, Courtney had worked at 5 firms, which includes CURIAN CLEARING LLC, CAPITAL BROKERAGE CORPORATION, WELLS FARGO CLEARING SERVICES LLC, FSC SECURITIES CORPORATION, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2011 - June 25, 2012
CURIAN CLEARING, LLC
November 12, 2009 - August 31, 2010
CAPITAL BROKERAGE CORPORATION
November 22, 2005 - March 4, 2009
CAPITAL BROKERAGE CORPORATION
May 17, 2004 - October 6, 2005
WELLS FARGO CLEARING SERVICES, LLC
May 17, 2004 - October 6, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 5, 2003 - April 5, 2004
FSC SECURITIES CORPORATION
April 3, 2003 - May 19, 2003
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
CURIAN CLEARING, LLC
CRD#: 132938 / SEC#: , 8-66660
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JACKSON NATIONAL LIFE INSURANCE COMPANY | OWNER | |
| COLLINS, MAURA KATHRYN | SVP, CFO | 4761732 |
| HAJDU, ROBERT WILLIAM | SENIOR VICE PRESIDENT | 4769897 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LOWRY, KRISTINE MARIE | FINOP, VP, CONTROLLER | 4168279 |
| MANDICH, MARK BERNARD | DIRECTOR | 4352167 |
| MILLER, JAMES PETER | PRESIDENT AND CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER | 1955960 |
| MYERS, PAUL CHADWICK | DIRECTOR | 1863982 |
| WETHERELL, WESTON BARTLEY | SVP, GENERAL COUNSEL | 1172113 |
| WRIGHT, DANIEL EUGENE | SVP, CHIEF COMPLIANCE OFFICER | 2204732 |
Disclosures
| Regulatory Event | 1 |
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