SW
Sean P. Whalen
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS
BOSTON, MA 02114
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CRD#: 5635534
SW
Professional summary
Sean Patrick Whalen, who also goes by Sean Whalen, is a registered financial professional currently at STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC located in Boston, Massachusetts.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2009. Sean has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sean Whalen
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.
CRS (Client Relationship Summary) - BD
Click below to view Sean Patrick 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
June 22, 2016 - Present
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Office #1: One Congress Street, Boston, MA 02114BD
CRD#: 30107
BOSTON, MA
Past
February 10, 2015 - May 24, 2016
CEDAR CAPITAL, LLC
RIA
CRD#: 174020
CHICAGO, IL
Past
October 27, 2014 - May 24, 2016
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
Chicago, IL
Past
June 17, 2014 - January 2, 2015
GOOD HARBOR FINANCIAL
RIA
CRD#: 127351
BARRINGTON, IL
Past
June 27, 2013 - October 28, 2014
NORTHERN LIGHTS DISTRIBUTORS, LLC
BD
CRD#: 126159
ELKHORN, NE
Past
January 20, 2010 - May 22, 2013
CALAMOS FINANCIAL SERVICES LLC
BD
CRD#: 19850
NAPERVILLE, IL
Past
March 5, 2009 - January 19, 2010
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/22/2016)
RR
Alaska(6/22/2016)
RR
Arizona(6/22/2016)
RR
Arkansas(6/22/2016)
RR
California(6/22/2016)
RR
Colorado(6/22/2016)
RR
Connecticut(6/22/2016)
RR
Delaware(6/22/2016)
RR
District of Columbia(6/22/2016)
RR
Florida(6/22/2016)
RR
Georgia(6/22/2016)
RR
Hawaii(6/22/2016)
RR
Idaho(6/22/2016)
RR
Illinois(6/22/2016)
RR
Indiana(6/22/2016)
RR
Iowa(6/22/2016)
RR
Kansas(6/22/2016)
RR
Kentucky(6/22/2016)
RR
Louisiana(6/22/2016)
RR
Maine(6/22/2016)
RR
Maryland(6/22/2016)
RR
Massachusetts(6/22/2016)
RR
Michigan(6/22/2016)
RR
Minnesota(6/22/2016)
RR
Mississippi(6/22/2016)
RR
Missouri(6/22/2016)
RR
Montana(6/22/2016)
RR
Nebraska(6/22/2016)
RR
Nevada(6/22/2016)
RR
New Hampshire(6/22/2016)
RR
New Jersey(6/22/2016)
RR
New Mexico(6/22/2016)
RR
New York(6/22/2016)
RR
North Carolina(6/22/2016)
RR
North Dakota(6/22/2016)
RR
Ohio(6/22/2016)
RR
Oklahoma(6/22/2016)
RR
Oregon(6/22/2016)
RR
Pennsylvania(6/22/2016)
RR
Puerto Rico(6/22/2016)
RR
Rhode Island(6/22/2016)
RR
South Carolina(6/22/2016)
RR
South Dakota(6/22/2016)
RR
Tennessee(6/22/2016)
RR
Texas(6/22/2016)
RR
Utah(6/22/2016)
RR
Vermont(6/22/2016)
RR
Virginia(6/22/2016)
RR
Washington(6/22/2016)
RR
West Virginia(6/22/2016)
RR
Wisconsin(6/22/2016)
RR
Wyoming(6/22/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC
CRD#: 30107 / SEC#: , 8-44744
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Congress Street, Boston, MA 02114
Mailing Address
One Congress Street, Boston, MA 02114
Phone number
(617) 664-3619
Established
Delaware since 03/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
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.
Company Information
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRD#: 30107Boston, MA 02114TRUST BUT VERIFY
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