Robert W. Whalen
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.
Robert William Whalen, who also goes by Rusty Whalen, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2011 - May 7, 2012
STONECASTLE SECURITIES, LLC
January 17, 2011 - September 27, 2011
RISEVEST FINANCIAL SECURITIES LIMITED
May 17, 2007 - February 6, 2009
ALADDIN CAPITAL LLC
July 26, 2004 - May 1, 2007
TERWIN CAPITAL, LLC
February 27, 2000 - December 19, 2001
MORGAN STANLEY DW INC.
May 2, 1995 - May 26, 1998
UST FINANCIAL SERVICES CORP.
December 13, 1991 - October 26, 1994
AMG DISTRIBUTORS, INC.
September 20, 1988 - June 27, 1989
NATWEST MARKETS SECURITIES INC.
July 5, 1984 - July 18, 1988
FIRST USA CAPITAL MARKETS, INC.
May 25, 1979 - March 31, 1983
SALOMON BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STONECASTLE SECURITIES, LLC
CRD#: 131211 / SEC#: , 8-66434
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONECASTLE PARTNERS, LLC | SOLE MEMBER | |
| HOLMEN, ROBERT CHRISTOPHER | PRESIDENT, CCO | 2919060 |
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.
