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Graham Gardner Whalen

Piper Sandler & Co.

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About Graham Gardner Whalen

Graham Gardner Whalen is a financial advisor at Piper Sandler & Co. Graham has been in the financial services industry since November 2004. Graham has a strong background in municipal securities and is a Series 52TO, SIE, and Series 7 licensed advisor. Graham specializes in investment management for businesses, particularly focusing on state or municipal government entities.

Firm Information

Graham Whalen is currently registered with Piper Sandler & Co.. Piper Sandler & Co. is a corporation headquartered in Minneapolis, Minnesota, that was formed on July 28, 1969. The firm provides analytical reports and public finance consulting program services, and manages portfolios for businesses. The firm has a total of 1,359 registered representatives and 24 investment adviser representatives, and manages approximately $1 billion to $10 billion in assets.
Piper Sandler & Co.

800 NICOLLET MALL

MINNEAPOLIS, MN 55402-7020

$1.58B

Assets Under Management

21

Total Clients

809

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.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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analytical reports/public finance consulting program

Analytical reports/public finance consulting program

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Graham Whalen’s Registration & Firm History

IL

10/10/2015 - Present

Piper Sandler & Co. (Barrington IL)

IL

08/16/2005 - 10/19/2015

BMO CAPITAL MARKETS GKST INC. (CHICAGO IL)

IL

02/03/2005 - 08/16/2005

ROSENTHAL GLOBAL SECURITIES LLC (CHICAGO IL)

MN

11/08/2004 - 02/15/2005

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

11/08/2004 - 02/15/2005

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 12/02/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/06/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Graham Gardner Whalen.
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