Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregg? Claim Your ProfileGregg Whelan is an investment advisor representative with Oppenheimer & Co. Inc., and has been in the industry since September 1983. Gregg has worked with several other firms before joining Oppenheimer & Co. Inc. in November 2023. Gregg provides financial planning, pension consulting, portfolio management, and selection of other advisors for individuals, businesses, and pooled investment vehicles.
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.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CA
11/30/2023 - Present
Oppenheimer & Co. Inc. (CARLSBAD CA)
CA
09/27/2019 - 12/20/2023
D.A. DAVIDSON & CO. (NEWPORT BEACH CA)
CA
10/09/2009 - 10/10/2019
RAYMOND JAMES & ASSOCIATES, INC. (NEWPORT BEACH CA)
CA
06/15/2007 - 10/12/2009
WELLS FARGO ADVISORS, LLC (NEWPORT BEACH CA)
CA
11/24/1999 - 06/29/2007
CITIGROUP GLOBAL MARKETS INC. (LONG BEACH CA)
NJ
11/17/1992 - 12/08/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
MO
09/04/1990 - 11/30/1992
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
09/23/1983 - 09/04/1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
IA
Issued 09/15/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/18/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/26/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 09/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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