Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis B. Whalen is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Dennis has been in the industry since October 2008 and is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in California, Florida, and Texas. Dennis offers financial and investment advice to a variety of clients, including individuals, high-net-worth individuals, corporations, insurance companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Dennis is committed to providing his clients with personalized financial advice and investment strategies tailored to their individual needs and goals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
FL
01/12/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PLANTATION FL)
BOTH
Issued 11/10/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/30/2008
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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