Scott J. 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.
Scott Jerome Whalen, CFA was a registered financial advisor .
Scott is a previously registered financial advisor and started their career in finance in 2002. Scott had worked at 2 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
June 6, 2003 - November 27, 2006
VERUS ADVISORY, INC.
December 6, 2002 - October 31, 2005
SPRING STREET SECURITIES, INC.
Primary Firm SEC Registration
VERUS ADVISORY, INC.
CRD#: 110565 / SEC#: 801-33895
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
VERUS ADVISORY, INC.
CRD#: 110565 / SEC#: 801-33895
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111 |
| AUM (Assets Under Management) | $ 17,543,160,261 |
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.
