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BP

Breton A. Perry

Some features on this profile are disabled
CRD#: 5750825
BP

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.

Breton Alexander Perry, who also goes by Breton Perry, Bret Perry, was a registered financial professional .

Breton is a previously registered financial professional and started their career in finance in 2010. Breton had worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Breton Perry | Bret Perry

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 31, 2021 - October 18, 2022

WHELAN ADVISORY CAPITAL MARKETS, LLC

BD
CRD#: 312814
BOCA RATON, FL
Past

December 5, 2017 - July 15, 2020

PJT PARTNERS LP

BD
CRD#: 171058
NEW YORK, NY
Past

April 8, 2010 - December 1, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 7/9/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 4/7/2010
Investment Banking Registered Representative Examination

Current Firm

WA
WHELAN ADVISORY CAPITAL MARKETS, LLC
WHELAN ADVISORY CAPITAL MARKETS, LLC | WHELAN ADVISORY, LLC

CRD#: 312814 / SEC#: , 8-70672

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
8600 Twin Lake Drive, Boca Raton, FL 33496
Mailing Address
8600 Twin Lake Drive, Boca Raton, FL 33496
Phone number
(917) 981-7539
Established
New York since 01/27/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WHELAN, MARGARET MARYCEO/FOUNDER2919823
PORTWOOD, WILLIAM BOYCECFO/FINOP/PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER4853700

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

WHELAN ADVISORY CAPITAL MARKETS, LLC

CRD#: 312814

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