Andrew J. Whalen

E. E. POWELL & COMPANY

Seven Fields, PA 16046

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CRD#: 6400127

Professional summary

Andrew James Whalen is a registered financial advisor currently at E. E. POWELL & COMPANY INC. located in Seven Fields, Pennsylvania.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Andrew has worked at 1 firm and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

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

CRS (Client Relationship Summary) - BD

Click below to view Andrew James 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®

None

Experience

Current

September 13, 2022 - Present

E. E. POWELL & COMPANY INC.

Office #1: 200 Northpointe Circle Suite 304, Seven Fields, PA 16046

RIA

CRD#: 3063

Seven Fields, PA

Current

October 15, 2014 - Present

E. E. POWELL & COMPANY INC.

Office #1: 200 Northpointe Circle Suite 304, Seven Fields, PA 16046

RIA

CRD#: 3063

Seven Fields, PA

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.

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

California
(1/23/2022)

Florida
(12/3/2015)

Maryland
(5/23/2023)

Massachusetts
(1/23/2022)

New Jersey
(9/30/2022)

New York
(5/23/2023)

North Carolina
(1/23/2022)

Pennsylvania
(10/27/2014)

IAR

Pennsylvania
(9/13/2022)

South Carolina
(1/23/2022)

Texas
(1/23/2022)

IAR

Texas
(9/22/2022)

Virginia
(1/23/2022)

Washington
(5/10/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/16/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/27/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/1/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

E. E. POWELL & COMPANY INC.

E. E. POWELL & COMPANY INC. | ELMER E. POWELL & COMPANY

CRD#: 3063 / SEC#: , 8-8193

Pennsylvania

Registered Investment Advisory firm - SEC (6/30/2022 Approved)

Texas

Registered Investment Advisory firm - SEC (9/15/2022 Conditional Restricted)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

200 Northpointe Circle Suite 304, Seven Fields, PA 16046

Mailing Address

200 Northpointe Circle Suite 304, Seven Fields, PA 16046

Phone number

(724) 776-7600

Established

Pennsylvania since 01/01/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (21 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MOFFATT, LEE DAVID	PRESIDENT / CCO	2267891
WHALEN, RICHARD EDWARD	EXECUTIVE DIRECTOR	807493
WHALEN, ANDREW JAMES	SECRETARY	6400127
NIESSLEIN, JOSEPH M	FINOP/PFO/POO	3057789

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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Firm Stability Insights

Andrew J. Whalen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

E. E. POWELL & COMPANY INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/16/2017

Series 63

Date: 10/27/2014

SIE

Date: 10/1/2018

Series 7

Date: 10/15/2014

Series 24

Date: 3/1/2023

FINRA

Current Firm

E. E. POWELL & COMPANY INC.

Contact information

FINRA licenses (21 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

E. E. POWELL & COMPANY INC.

TRUST BUT VERIFY

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