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KW

Katelyn Whalen

WEALTHSPIRE RETIREMENT ADVISORY
Charlotte, NC 28211
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CRD#: 5858638
KW
Katelyn WhalenWEALTHSPIRE RETIREMENT ADVISORY

Professional summary

Katelyn Whalen, AIF®, who also goes by Katelyn E Whalen, Katelyn Elizabeth Whalen, Kate Whalen, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Charlotte, North Carolina and KESTRA INVESTMENT SERVICES, LLC located in Charlotte, North Carolina.

Katelyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Katelyn has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Aliases

Katelyn E Whalen | Katelyn Elizabeth Whalen | Kate 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.

Blog Corner

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CRS (Client Relationship Summary) - RIA

Click below to view Katelyn Whalen's CRS (Customer Relationship Summary).
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®
AIF®

Accredited Investment Fiduciary

Experience

Current

October 19, 2021 - Present

WEALTHSPIRE RETIREMENT ADVISORY

Office #1: 1901 Roxborough Road Suite 300, Charlotte, NC 28211
RIA
CRD#: 121254
Charlotte, NC
Current

August 26, 2022 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 1901 Roxborough Road Ste 300, Charlotte, NC 28211
BD
CRD#: 42046
CHARLOTTE, NC
Past

July 20, 2021 - October 4, 2021

EMPOWER ADVISORY GROUP, LLC

RIA
CRD#: 112058
CHARLOTTE, NC
Past

July 20, 2021 - October 4, 2021

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

February 12, 2020 - July 9, 2021

AMERITAS INVESTMENT COMPANY, LLC

RIA
CRD#: 14869
Charlotte, NC
Past

December 4, 2019 - July 9, 2021

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

February 1, 2017 - November 7, 2019

STERLING CAPITAL MANAGEMENT LLC

RIA
CRD#: 135405
Charlotte, NC
Past

January 27, 2017 - November 5, 2019

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
CHARLOTTE, NC
Past

March 4, 2014 - December 1, 2016

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA
CRD#: 108257
BOSTON, MA
Past

December 18, 2013 - December 1, 2016

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 840
BOSTON, MA

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".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | NFP | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.

CRD#: 121254 / SEC#: 801-66107

RIA
Registered Investment Advisory firm - (1/31/2006 Approved)
California
Registered Investment Advisory firm - (2/9/2006 Terminated)

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.
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

IAR
Florida
(5/18/2024)
RR
Georgia
(8/26/2022)
IAR
Georgia
(4/4/2024)
IAR
Maryland
(4/2/2024)
IAR
North Carolina
(10/19/2021)
RR
North Carolina
(8/29/2022)
RR
South Carolina
(8/26/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/14/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/15/2013
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 7
Date: 12/18/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | NFP | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.

CRD#: 121254 / SEC#: 801-66107

RIA
Registered Investment Advisory firm - (1/31/2006 Approved)
California
Registered Investment Advisory firm - (2/9/2006 Terminated)
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Contact information

Main Address
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (12/23/2025)

Regulatory assets under management

Total Number of Accounts9,394
AUM (Assets Under Management)$ 118,031,461,765

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

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254Charlotte, NC 28211

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