Chad S. Smith

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CRD#: 5211492

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.

Chad Steven Smith was a registered financial professional .

Chad is a previously registered financial professional and started their career in finance in 2006. Chad had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

WAUSAU, WI

Past

September 1, 2010 - November 25, 2011

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

WAUSAU, WI

Past

October 26, 2006 - March 13, 2009

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

SCHOFIELD, WI

Past

October 5, 2006 - March 13, 2009

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

SCHOFIELD, WI

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".

WHALEN CAPITAL, INC.

BRADLEY WHALEN FINANCIAL SERVICES, INC. | WHALEN CAPITAL, INC. | BRADLEYWHALEN FINANCIAL SERVICES, INC.

CRD#: 130016 / SEC#: 801-129615

RIA

Registered Investment Advisory firm - (3/8/2024 Approved)

Wisconsin

Registered Investment Advisory firm - (3/21/2024 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

State Security Law Exam

IAR

Series 66

Date: 10/25/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/6/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/4/2006

General Securities Representative Examination

Current Firm

WHALEN CAPITAL, INC.

BRADLEY WHALEN FINANCIAL SERVICES, INC. | WHALEN CAPITAL, INC. | BRADLEYWHALEN FINANCIAL SERVICES, INC.

CRD#: 130016 / SEC#: 801-129615

RIA

Registered Investment Advisory firm - (3/8/2024 Approved)

Wisconsin

Registered Investment Advisory firm - (3/21/2024 Terminated)

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Contact information

Main Address

226411 Rib Mountain Rd, Wausau, WI 54401

Mailing Address

Phone number

(715) 241-6935

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A & 2B SEC (1/31/2025)

Regulatory assets under management

Total Number of Accounts	577
AUM (Assets Under Management)	$ 152,406,411

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.

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Advisor Monitoring

Firm Stability Insights

Chad S. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ON INVESTMENT MANAGEMENT CO

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

WHALEN CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/25/2006

SIE

Date: 2/6/2017

Series 7

Date: 10/4/2006

Current Firm

WHALEN CAPITAL, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WHALEN CAPITAL, INC.

TRUST BUT VERIFY

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