AW
Andrew J. Whalen
WHALEN FINANCIAL
Las Vegas, NV 89113
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CRD#: 5179797
AW
Professional summary
Andrew Joseph Whalen is a registered financial advisor currently at WHALEN FINANCIAL located in Las Vegas, Nevada.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Andrew has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Whalen Financial. Investment Related. See Registered Branch Location. RIA, CEO, Investment Advisor. Start 1/2021. 160hrs/mo, all during trading hours. RIA. 2) Fixed Insurance. Non-Investment Related. See Registered Branch Location. Fixed/Traditional Insurance Agent. Start 1/2021. 4hrs/mo, during trading hours. Sales of Fixed/Traditional insurance products. 3) Whalen & Associate Insurance Services, Inc. Investment Related. See Registered Branch Location. Agent and advisor. Host seminars on estate planning. Start 11/2017. 2hrs/mo, during trading hours. Seminars. 4) THE WHALEN GROUP INC.; CEO; INVESTMENT RELATED: NO; See Registered Branch Location; THE WHALEN GROUP INC. IS A TAX PREPARATION AND BOOKKEEPING SERVICE COMPANY. THE FIRM IS COMPENSATED N THREE WAYS - TAX RETURN PREPARATION, BOOKKEEPING ACTIVITIES, AND FAMILY TRUST PREPARATION; BUSINESS PLANNING, EXECUTIVE DECISIONS, MANAGEMENT OF EMPLOYEES; 2021-01-01; HOURS DEVOTED TO BUSINESS DURING TRADING HOURS: 1; HOURS DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 1; PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 10; 5) Whalen Private Wealth. Investment Related. 7160 Rafael Rivera Way Suite 220, Las Vegas, NV 89113. S Corp. Owner/CEO. 10/2024. 6 hrs/month. 6 hrs during securities hrs. Pass PKS commissions into once paid to me as an individual. 6) CWM Publishing. Investment Related. 7160 Rafael Rivera Way Suite 220, Las Vegas, NV 89113. Book Sales. Owner. 11/2024. .25 hrs/month. 05 hrs during securities hrs. I have written and self-published the book (Confessions of a Wealth Manager). Book & merchandise sales.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Joseph Whalen's 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®
NoneExperience
Current
March 2, 2021 - Present
WHALEN FINANCIAL
Office #1: 7160 Rafael Rivera Way Suite 220, Las Vegas, NV 89113RIA
CRD#: 311869
Las Vegas, NV
Past
January 20, 2021 - October 2, 2025
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Las Vegas, NV
Past
November 29, 2017 - January 25, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAS VEGAS, NV
Past
November 29, 2017 - January 25, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
LAS VEGAS, NV
Past
May 21, 2013 - December 1, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
HENDERSON, NV
Past
May 21, 2013 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
HENDERSON, NV
Past
May 10, 2013 - May 23, 2013
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
TAMPA, FL
Past
May 10, 2013 - May 23, 2013
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
LAS VEGAS, NV
Past
October 25, 2011 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
RIA
CRD#: 142170
LAS VEGAS, NV
Past
October 12, 2009 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
BD
CRD#: 142170
LAS VEGAS, NV
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".
WF
WHALEN FINANCIAL
WHALEN ENTERPRISES INC. | WHALEN WEALTH MANAGEMENT INC. | WHALEN FINANCIAL
CRD#: 311869 / SEC#: 801-120102
RIA
Registered Investment Advisory firm - (1/4/2021 Approved)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
Nevada(3/2/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
WF
WHALEN FINANCIAL
WHALEN ENTERPRISES INC. | WHALEN WEALTH MANAGEMENT INC. | WHALEN FINANCIAL
CRD#: 311869 / SEC#: 801-120102
RIA
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Contact information
Main Address
7160 Rafael Rivera Way Suite 220, Las Vegas, NV 89113
Mailing Address
Phone number
(702) 878-3900
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 834 |
| AUM (Assets Under Management) | $ 192,271,610 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
