Maureen A. Whelan

M.A. WHELAN FINANCIAL PLANNING

CORTLANDT MANOR, NY

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CRD#: 5133502

Professional summary

Maureen Ann Whelan, CFP® is a registered financial advisor currently at M.A. WHELAN FINANCIAL PLANNING located in Cortlandt Manor, New York.

Maureen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Maureen has worked at 1 firm .

At a Glance

Always Fiduciary

Paid By: Fee Only

Min. Asset: Under $50K

Services Offered

Tax Planning

Elder Care

Investment Planning

Retirement Planning

Specializations

Investment Advice with Ongoing Management

Investment Advice without Ongoing Management

Retirement Planning & Distribution Rules

Tax Planning

Women's Financial Planning Issues

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maureen Ann Whelan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

August 28, 2021 - Present

M.A. WHELAN FINANCIAL PLANNING

RIA

CRD#: 140357

CORTLANDT MANOR, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

M.A. WHELAN FINANCIAL PLANNING

M.A. WHELAN FINANCIAL PLANNING | WHELAN FINANCIAL PLANNING | MAUREEN A. WHELAN

CRD#: 140357 / SEC#: 801-122165

RIA

Registered Investment Advisory firm - (8/25/2021 Approved)

New York

Registered Investment Advisory firm - (9/1/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(8/28/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

M.A. WHELAN FINANCIAL PLANNING

M.A. WHELAN FINANCIAL PLANNING | WHELAN FINANCIAL PLANNING | MAUREEN A. WHELAN

CRD#: 140357 / SEC#: 801-122165

RIA

Registered Investment Advisory firm - (8/25/2021 Approved)

New York

Registered Investment Advisory firm - (9/1/2021 Terminated)

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Contact information

Main Address

Cortlandt Manor, NY

Mailing Address

Po Box 374, Buchanan, NY 10511

Phone number

(914) 257-3446

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (3/2/2026)

Regulatory assets under management

Total Number of Accounts	148
AUM (Assets Under Management)	$ 77,359,453

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.

Contact information

(xxx) xxx-xxxx

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Maureen A. Whelan

Professional summary

At a Glance

Services Offered

Specializations

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maureen Ann Whelan's CRS (Customer Relationship Summary).

Certified licenses

Experience

M.A. WHELAN FINANCIAL PLANNING

Primary Firm SEC Registration

M.A. WHELAN FINANCIAL PLANNING

State Registrations and Notice Filings

Exams

Current Firm

M.A. WHELAN FINANCIAL PLANNING

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

M.A. WHELAN FINANCIAL PLANNING

TRUST BUT VERIFY

Contact information

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