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Harold Thomas Whalen

Thornburg Investment Management Inc.

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About Harold Thomas Whalen

Harold Thomas Whalen is an investment advisor representative with Thornburg Investment Management Inc. in SANTA FE, NM. Harold Whalen has been in the financial services industry since 2004 and is registered in 8 states, including Delaware, Maryland, New Mexico, and Virginia. Harold Whalen specializes in providing portfolio management services for individuals, businesses, investment companies, and pooled investment vehicles. Harold Whalen is also registered with FINRA as a Registered Representative.

Firm Information

Harold Whalen is currently registered with Thornburg Investment Management Inc.. Thornburg Investment Management Inc. is a Santa Fe, NM-based investment advisor with approximately $41.83 billion in regulatory assets under management. The firm offers portfolio management services for individuals, businesses, investment companies, and pooled investment vehicles. Thornburg Investment Management Inc. has over 88 registered representatives and 42 investment advisory professionals.
Thornburg Investment Management Inc.

2300 NORTH RIDGETOP ROAD

SANTA FE, NM 87506

$41.83B

Assets Under Management

Not reported

Total Clients

39

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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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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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percentage of assets

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

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Harold Whalen’s Registration & Firm History

NM

03/30/2020 - Present

Thornburg Investment Management Inc. (SANTA FE NM)

MA

04/21/2011 - 04/03/2020

NATIXIS DISTRIBUTION, L.P. (BOSTON MA)

MA

02/20/2004 - 04/04/2011

EATON VANCE DISTRIBUTORS, INC. (BOSTON MA)

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Licenses & Designations

IA

Issued 03/20/2008

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/06/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/20/2008

Series 7 - General Securities Representative Examination

BC

Issued 01/29/2004

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Harold Thomas Whalen. Review regulatory record here.
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