Daniel M. 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.
Daniel M Whalen was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2005. Daniel had worked at 5 firms and has passed the Series 63, SIE, Series 86, Series 87 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 5, 2012 - January 5, 2015
TOPEKA CAPITAL MARKETS INC.
September 6, 2011 - June 7, 2012
AURIGA USA, LLC
October 7, 2009 - September 20, 2011
CAPSTONE INVESTMENTS
March 3, 2008 - March 5, 2009
COWEN SECURITIES LLC
September 13, 2005 - February 13, 2008
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
TOPEKA CAPITAL MARKETS INC.
CRD#: 154133 / SEC#: , 8-68610
Contact information
Documents
Red Flags
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