Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Howley Whalen is an investment advisor representative registered with Commonwealth Financial Network. John has over 30 years of experience in the financial services industry. John holds Series 6, 7, 24, 26, 63 and 65 licenses. John is a Chartered Financial Consultant. John works with individuals, corporations, high-net-worth individuals, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Commonwealth Financial Network is an independent firm that is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Commonwealth Financial Network provides a variety of financial services, including financial planning, portfolio management, and investment advisory services.
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.
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
HI
06/02/2015 - Present
Commonwealth Financial Network (Honolulu HI)
HI
11/15/2010 - 05/29/2015
VSR FINANCIAL SERVICES, INC. (HONOLULU HI)
HI
03/15/1990 - 11/22/2010
AXA ADVISORS, LLC (HONOLULU HI)
NY
03/15/1990 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 01/05/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/18/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/25/1999
Series 24 - General Securities Principal Examination
BC
Issued 11/19/1998
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1999
Series 7 - General Securities Representative Examination
BC
Issued 07/13/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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