Christopher 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.
Christopher James Whalen, who also goes by Christopher J Whalen, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2008. Christopher had worked at 3 firms and has passed the Series 63 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
April 30, 2010 - February 17, 2014
SPOUTING ROCK CAPITAL ADVISORS, LLC
May 6, 2009 - April 27, 2010
SECURITIES NETWORK LLC
April 23, 2008 - June 13, 2008
BRILL SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SPOUTING ROCK CAPITAL ADVISORS, LLC
CRD#: 143180 / SEC#: , 8-67539
Contact information
Documents
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.
