Jeffrey J. Whalen

COVE PRIVATE WEALTH

Stony Brook, NY

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CRD#: 7290437

Professional summary

Jeffrey John Whalen, who also goes by Jeffrey Whalen, is a registered financial advisor currently at COVE PRIVATE WEALTH, LLC located in Stony Brook, New York.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Jeffrey has worked at 2 firms and has passed the Series 66 and Series 7TO exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeffrey 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey John 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

October 7, 2024 - Present

COVE PRIVATE WEALTH, LLC

RIA

CRD#: 316866

Stony Brook, NY

Past

November 4, 2020 - December 19, 2023

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

NEW YORK, NY

Past

September 21, 2020 - October 10, 2024

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

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".

COVE PRIVATE WEALTH, LLC

CRD#: 316866 / SEC#: 801-122756

RIA

Registered Investment Advisory firm - (11/24/2021 Approved)

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 York
(10/7/2024)

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: 11/3/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/18/2020

General Securities Representative Examination

Current Firm

COVE PRIVATE WEALTH, LLC

CRD#: 316866 / SEC#: 801-122756

RIA

Registered Investment Advisory firm - (11/24/2021 Approved)

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Contact information

Main Address

44 Yellow Cote Rd., Oyster Bay, NY 11771

Mailing Address

Phone number

(516) 588-1123

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (1/14/2025)

Regulatory assets under management

Total Number of Accounts	57
AUM (Assets Under Management)	$ 269,895,864

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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Jeffrey J. Whalen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey John Whalen's CRS (Customer Relationship Summary).

Certified licenses

Experience

COVE PRIVATE WEALTH, LLC

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

Primary Firm SEC Registration

COVE PRIVATE WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/3/2020

Series 7TO

Date: 9/18/2020

Current Firm

COVE PRIVATE WEALTH, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COVE PRIVATE WEALTH, LLC

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