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Anne Marie Whelan

Fidelity Brokerage Services LLC

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About Anne Marie Whelan

Anne Marie Whelan is a registered representative with Fidelity Brokerage Services LLC. Anne Marie has been in the securities industry since 2000. Anne Marie has held previous positions with Goldman, Sachs & Co., Credit Agricole Cheuvreux North America, Inc., and Panmure Gordon Securities Limited. Anne Marie holds the Series 3, 7, 55, 63, SIE, and 7TO licenses.

Firm Information

Anne Whelan is currently registered with Fidelity Brokerage Services LLC. Fidelity Brokerage Services LLC is a Limited Liability Company formed on June 8, 2000. The firm is registered in 53 states and is approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

6,116

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Anne Whelan’s Registration & Firm History

RI

11/12/2021 - Present

Fidelity Brokerage Services LLC (SMITHFIELD RI)

NY

05/03/2021 - 09/05/2021

T&G PRIVATE CAPITAL LLC (NEW YORK NY)

NA

08/15/2016 - 04/05/2019

PANMURE GORDON SECURITIES LIMITED (LONDON )

NY

07/03/2006 - 08/13/2013

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC. (NEW YORK NY)

NY

05/25/2005 - 06/23/2006

CALYON SECURITIES (USA) INC (NEW YORK NY)

NY

07/18/2000 - 03/04/2005

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

12/22/1998 - 07/20/2000

COMMERZBANK CAPITAL MARKETS CORP. (NEW YORK NY)

NY

05/26/1998 - 10/28/1998

SANTANDER INVESTMENT SECURITIES INC. (NEW YORK NY)

NA

10/10/1996 - 03/17/1998

PEREGRINE BROKERAGE INC.

NY

04/05/1995 - 06/24/1996

GOLDMAN, SACHS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/20/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/14/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/21/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/17/2003

Series 3 - National Commodity Futures Examination

BC

Issued 04/04/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

New York Stock Exchange

Disclosures

There are no public disclosures for Anne Marie Whelan.
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