Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames William Whelen is an active investment advisor representative with over 30 years of experience in the financial industry. James has been associated with Davenport & Co. LLC since April 2006. James has a strong track record of success and is committed to providing his clients with the highest level of personalized service. James holds a Series 66 license. James is registered to provide investment advisory services in Virginia and Texas.
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.
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.
Strategic management for diversified investment portfolios.
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.
12b-1 fees and/or shareholder servicing fees
1
2
VA
07/21/2014 - Present
Davenport & Co. LLC (RICHMOND VA)
NC
07/01/2003 - 04/06/2006
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
MO
10/01/1999 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
03/03/1999 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
MD
09/01/1997 - 02/12/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NA
09/24/1992 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
BOTH
Issued 07/21/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/01/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/06/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/04/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Whelen is the right advisor for you? Invested Better is here to help.
