James R. Whalen

CYPRESS FINANCIAL PLANNING

GARNET VALLEY, PA

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CRD#: 5876202

Professional summary

James R Whalen, CFP®, who also goes by James R. Whalen, James Raymond Whalen, Jim Whalen, James Whalen, is a registered financial advisor currently at CYPRESS FINANCIAL PLANNING located in Garnet Valley, Pennsylvania.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. James has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James R. Whalen | James Raymond Whalen | Jim Whalen | James 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.

50% OWNER, WHALEN & MARTINO GROUP LLC, 609 N 16TH ST #2 PHILADELPHIA, PHILADELPHIA, PA, , PENNSYLVANIA, 19130, UNITED STATES OF AMERICA, INVESTMENT PROPERTY, START DATE: 05/18/2016, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, RESEARCHING AND IDENTIFYING PROPERTIES THAT PROVIDE THE RETURN ON INVESTMENT AFTER REPAIRING THEM.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James R 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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

March 15, 2025 - Present

CYPRESS FINANCIAL PLANNING

RIA

CRD#: 151014

GARNET VALLEY, PA

Past

February 13, 2019 - April 14, 2025

BLUE ROCK FINANCIAL GROUP

RIA

CRD#: 298558

REHOBOTH BEACH, DE

Past

April 14, 2016 - July 26, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

PHILADELPHIA, PA

Past

April 5, 2016 - July 26, 2016

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

PHILADELPHIA, PA

Past

November 12, 2012 - March 6, 2014

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

June 4, 2012 - October 15, 2012

BNY ADVISORS

RIA

CRD#: 106108

KING OF PRUSSIA, PA

Past

June 6, 2011 - October 15, 2012

PERSHING LLC

CRD#: 7560

KING OF PRUSSIA, PA

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".

CYPRESS FINANCIAL PLANNING

CYPRESS FINANCIAL PLANNING | CYPRESS FINANCIAL PLANNING, LLC

CRD#: 151014 / SEC#: 801-112700

RIA

Registered Investment Advisory firm - (3/26/2018 Approved)

Delaware

Registered Investment Advisory firm - (3/29/2018 Terminated)

Maryland

Registered Investment Advisory firm - (4/6/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (4/12/2018 Terminated)

New York

Registered Investment Advisory firm - (3/28/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (3/29/2018 Terminated)

Virginia

Registered Investment Advisory firm - (3/28/2018 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(3/18/2025)

IAR

Pennsylvania
(3/17/2025)

IAR

Texas
(3/15/2025)

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: 6/2/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/26/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/3/2011

General Securities Representative Examination

Current Firm

CYPRESS FINANCIAL PLANNING

CYPRESS FINANCIAL PLANNING | CYPRESS FINANCIAL PLANNING, LLC

CRD#: 151014 / SEC#: 801-112700

RIA

Registered Investment Advisory firm - (3/26/2018 Approved)

Delaware

Registered Investment Advisory firm - (3/29/2018 Terminated)

Maryland

Registered Investment Advisory firm - (4/6/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (4/12/2018 Terminated)

New York

Registered Investment Advisory firm - (3/28/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (3/29/2018 Terminated)

Virginia

Registered Investment Advisory firm - (3/28/2018 Terminated)

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Contact information

Main Address

400 White Horse Pike, Haddon Heights, NJ 08035

Mailing Address

Phone number

(856) 720-0029

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

03 20 2025 CYP FORM ADV PART 2A AND 2B FINAL (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,509
AUM (Assets Under Management)	$ 394,972,037

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

James R. Whalen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James R Whalen's CRS (Customer Relationship Summary).

Certified licenses

Experience

BLUE ROCK FINANCIAL GROUP

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

GOLDMAN SACHS & CO. LLC

BNY ADVISORS

PERSHING LLC

Primary Firm SEC Registration

CYPRESS FINANCIAL PLANNING

State Registrations and Notice Filings

Exams

Series 66

Date: 6/2/2012

SIE

Date: 7/26/2016

Series 7

Date: 6/3/2011

Current Firm

CYPRESS FINANCIAL PLANNING

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CYPRESS FINANCIAL PLANNING

TRUST BUT VERIFY

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