Robert Michael Whelan Iii
Professional Summary
Robert Michael Whelan III, who also goes by Bobby M Whelan III, is a registered financial advisor currently at LEERINK PARTNERS LLC located in San Francisco, California. Robert is registered as a RR (Registered Representative) and started their career in finance in 2012. Robert has worked at 1 firm and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bobby M Whelan Iii
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TERRAFIRMA WEALTH PARTNERS
GINSBERG FINANCIAL STRATEGIES
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TERRAFIRMA WEALTH PARTNERS
GINSBERG FINANCIAL STRATEGIES
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TERRAFIRMA WEALTH PARTNERS
GINSBERG FINANCIAL STRATEGIES
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TERRAFIRMA WEALTH PARTNERS
GINSBERG FINANCIAL STRATEGIES
Years of Experience
14 years in the financial services industry
Current & Past Employments
Current
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TERRAFIRMA WEALTH PARTNERS
GINSBERG FINANCIAL STRATEGIES
Current Firm
LEERINK | SVB SECURITIES LLC | SVB LEERINK LLC | LEERINK, SWANN, GARRITY, SOLLAMI, YAFFE & WYNN, INC. | LEERINK SWANN LLC | LEERINK SWANN & COMPANY | LEERINK SWANN & CO., INC. | LEERINK PARTNERS, LLC | LEERINK PARTNERS LLC | LEERINK PARTNERS | LEERINK & CO., INC.
Contact Information
Main Address
53 State Street 40th Floor, Boston, MA, 02109Mailing Address
53 State Street 40th Floor 40th Floor, Boston, MA, 02109Phone Number
(617) 918-4900Established
Delaware since 07/19/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEERINK INTERMEDIATE HOLDINGS LLC | MEMBER | — |
| CASEY, KEVIN MICHAEL | CHIEF COMPLIANCE OFFICER | 4754440 |
| DAVIDSON, THOMAS ADAM | SENIOR MANAGING DIRECTOR | 2248233 |
| DUBIN, DANIEL BARRY | SENIOR MANAGING DIRECTOR | 3231063 |
| GENTILE, JOSEPH ROBERT | CHIEF ADMINISTRATIVE OFFICER | 2545927 |
| HEINEMAN, STEVEN P | GENERAL COUNSEL | 5386950 |
| JURKIEWICZ, GREGG MARTIN | FINOP | 4440135 |
| LEERINK, JEFFREY ALAN | CEO | 1718986 |
| OLSON, ERIC PATRICK | PRINCIPAL OPERATIONS OFFICER | 2542584 |
Disclosures
Regulatory Event
6Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TERRAFIRMA WEALTH PARTNERS
GINSBERG FINANCIAL STRATEGIES
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TERRAFIRMA WEALTH PARTNERS
GINSBERG FINANCIAL STRATEGIES
State Registrations and Notice Filings
(3/8/2019)
(1/4/2016)
(7/25/2014)
(7/16/2015)
(1/9/2014)
(1/9/2014)
(3/8/2019)
(6/16/2016)
(6/16/2016)
(3/8/2019)
(3/8/2019)
(8/4/2026)
(6/16/2016)
(3/8/2019)
(1/9/2014)
(3/8/2019)
(5/2/2012)
(3/8/2019)
(3/8/2019)
(7/16/2015)
(10/28/2014)
(3/8/2016)
(7/16/2015)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jul 2012SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TERRAFIRMA WEALTH PARTNERS
GINSBERG FINANCIAL STRATEGIES
CRS (Client Relationship Summary) - BD
Click below to view Robert Michael Whelan III's CRS (Customer Relationship Summary).
Similar Advisors
OCCIDENTAL ASSET MANAGEMENT, LLC
TERRAFIRMA WEALTH PARTNERS
GINSBERG FINANCIAL STRATEGIES
