Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Edward Whalen is a financial advisor with Raymond James Financial Services Advisors, Inc. located in Gainesville, GA. Brian has been in the financial industry since 1995. Brian holds several licenses and designations including Series 7, Series 10, Series 26, Series 63, Series 66, and Certified Financial Planner. Brian has experience with financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, portfolio management for individuals, and hourly & fixed rate consultations.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Hourly & fixed rate consultations
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Per participant (erisa)
1
2
GA
06/24/2015 - Present
Raymond James Financial Services Advisors, Inc. (GAINESVILLE GA)
GA
03/28/2012 - 05/04/2015
WELLS FARGO ADVISORS, LLC (GAINESVILLE GA)
CA
06/13/2003 - 03/30/2012
AMERICAN FUNDS DISTRIBUTORS, INC. (LOS ANGELES CA)
MA
12/05/1995 - 03/11/2003
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
TX
11/23/1994 - 09/12/1995
VAN KAMPEN AMERICAN CAPITAL DISTRIBUTORS, INC. (HOUSTON TX)
BOTH
Issued 04/26/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/10/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/18/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/10/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/03/2003
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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