Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Whelan is a financial professional with over 5 years of experience in the industry. Brian is currently registered with and employed by MUFG Securities Americas Inc. located in Los Angeles, California. Previously, Brian Whelan was employed by RBC CAPITAL MARKETS, LLC and RBS SECURITIES INC. Brian holds Series 63, SIE, Series 7, and Series 79 licenses. Brian is registered in 51 states and the District of Columbia.
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.
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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2
CA
02/12/2018 - Present
Mufg Securities Americas Inc. (Los Angeles CA)
NY
04/24/2015 - 01/30/2018
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
CT
10/29/2014 - 04/22/2015
RBS SECURITIES INC. (STAMFORD CT)
BC
Issued 11/20/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2016
Series 7 - General Securities Representative Examination
BC
Issued 10/29/2014
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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