Michael W. 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.
Michael William Whalen was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 5 firms and has passed the Series 66 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
September 21, 2007 - July 16, 2012
TD AMERITRADE, INC.
September 21, 2007 - July 16, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 21, 2007 - July 16, 2012
TD AMERITRADE, INC.
October 6, 2006 - September 17, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
February 22, 2005 - June 20, 2006
IDS LIFE INSURANCE COMPANY
February 22, 2005 - September 17, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
December 13, 2002 - December 31, 2004
PRINCIPAL SECURITIES, INC.
April 18, 2001 - September 7, 2001
IDS LIFE INSURANCE COMPANY
April 18, 2001 - September 7, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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