JW
Jake Whalen
WHALEN CAPITAL
Wausau, WI 54401
Some features on this profile are disabled
CRD#: 7041474
JW
Professional summary
Jake Whalen is a registered financial advisor currently at WHALEN CAPITAL, INC. located in Wausau, Wisconsin and ON INVESTMENT MANAGEMENT CO located in Wausau, Wisconsin.
Jake is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Jake has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE 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.
OHIO NATIONAL FINANCIAL SERVICES AND WHALEN FINANCIAL GROUP;INSURANCE AGENT; INVESTMENT RELATED; WAUSAU, WI; INSURANCE AGENT; 01/2021; 16HRS/MONTH; INSURANCE SALES. THE O.N. EQUITY SALES COMPANY; REGISTERED REPRESENTATIVE; INVESTMENT RELATED; 01/2021; WAUSAU, WI; 144HRS/MONTH DEVOTED; SECURITIES PRODUCT SALES.
CRS (Client Relationship Summary) - RIA
Click below to view Jake Whalen's 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®
NoneExperience
Current
December 8, 2021 - Present
WHALEN CAPITAL, INC.
Office #1: 226411 Rib Mountain Rd, Wausau, WI 54401RIA
CRD#: 130016
Wausau, WI
Current
April 24, 2024 - Present
ON INVESTMENT MANAGEMENT CO
Office #1: 226411 Rib Mountain Drive, Wausau, WI 54401RIA
CRD#: 105662
Wausau, WI
Current
February 2, 2021 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 226411 Rib Mountain Dr, Wausau, WI 54401BD
CRD#: 2936
Wausau, WI
Past
June 4, 2020 - January 26, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MIDDLETON, WI
Past
October 24, 2019 - February 26, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
DELAFIELD, WI
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".
OI
ON INVESTMENT MANAGEMENT CO
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
RIA
Registered Investment Advisory firm - (11/14/1971 Approved)Alabama
Registered Investment Advisory firm - (4/15/2002 Terminated)District of Columbia
Registered Investment Advisory firm - (2/9/2001 Terminated)Georgia
Registered Investment Advisory firm - (4/15/2002 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Maine
Registered Investment Advisory firm - (4/19/2002 Terminated)Maryland
Registered Investment Advisory firm - (4/15/2002 Terminated)Michigan
Registered Investment Advisory firm - (1/8/2002 Terminated)North Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)South Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2002 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
Illinois(10/31/2025)
IAR
Maryland(8/13/2025)
RR
Minnesota(2/2/2021)
IAR
Minnesota(8/11/2025)
RR
Wisconsin(2/2/2021)
IAR
Wisconsin(12/8/2021)
RR
Wyoming(4/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/8/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 10/24/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
ON INVESTMENT MANAGEMENT CO
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
RIA
Registered Investment Advisory firm - (11/14/1971 Approved)Alabama
Registered Investment Advisory firm - (4/15/2002 Terminated)District of Columbia
Registered Investment Advisory firm - (2/9/2001 Terminated)Georgia
Registered Investment Advisory firm - (4/15/2002 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Maine
Registered Investment Advisory firm - (4/19/2002 Terminated)Maryland
Registered Investment Advisory firm - (4/15/2002 Terminated)Michigan
Registered Investment Advisory firm - (1/8/2002 Terminated)North Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)South Carolina
Registered Investment Advisory firm - (4/15/2002 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2002 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Financial Way, Cincinnati, OH 45242
Mailing Address
P.o. Box 371, Cincinnati, OH 45201-0371
Phone number
(855) 262-0913
Established
Firm type
Fiscal year end
# of Employees
3,193
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
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.
