Anthony J. Whalen

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CRD#: 6563230

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.

Anthony James Whalen, who also goes by Tony Whalen, was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 2015. Anthony had worked at 3 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tony 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.

1.) Independent Insurance Agent; Investment Related; St. Louis Park, MN; LOA in Accident & Health and Life, Start Date 07/2021; Approximately 48 hours/month with the majority during securities trading hours

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

July 26, 2021 - September 15, 2025

SECURED RETIREMENT ADVISORS, LLC

RIA

CRD#: 144239

ST LOUIS PARK, MN

Past

November 14, 2016 - June 1, 2021

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

St. Paul, MN

Past

October 15, 2015 - June 1, 2021

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

ST. PAUL, MN

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".

SECURED RETIREMENT ADVISORS, LLC

CRD#: 144239 / SEC#: 801-121760

RIA

Registered Investment Advisory firm - (7/14/2021 Approved)

Minnesota

Registered Investment Advisory firm - (8/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/23/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/28/2021 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 11/11/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 9/27/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/9/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SECURED RETIREMENT ADVISORS, LLC

CRD#: 144239 / SEC#: 801-121760

RIA

Registered Investment Advisory firm - (7/14/2021 Approved)

Minnesota

Registered Investment Advisory firm - (8/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/23/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/28/2021 Terminated)

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Contact information

Main Address

6121 Excelsior Blvd, St Louis Park, MN 55416

Mailing Address

Phone number

(952) 460-3260

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SECURED RETIREMENT ADVISORS, LLC ADV BROCHURE (2/9/2025)

Regulatory assets under management

Total Number of Accounts	1,832
AUM (Assets Under Management)	$ 228,187,558

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

Anthony J. Whalen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

Primary Firm SEC Registration

SECURED RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/11/2016

Series 63

Date: 4/1/2016

Series 6TO

Date: 9/27/2023

SIE

Date: 10/1/2018

Series 6

Date: 10/9/2015

Current Firm

SECURED RETIREMENT ADVISORS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SECURED RETIREMENT ADVISORS, LLC

TRUST BUT VERIFY

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