Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Keith? Claim Your ProfileKeith T. Whelan is a financial advisor who has been in the industry since 2005. Currently, Keith is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Keith worked at Labranche & Co. LLC. Keith is licensed to sell securities in North Carolina. Keith holds the Series 63, Series 7, Series 21, and Series 25 licenses. Keith has experience providing advisory services to individuals, businesses, corporations, insurance companies, pension and profit-sharing plans, and charitable organizations.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
08/17/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
08/03/2005 - 01/03/2007
LABRANCHE & CO. LLC (NEW YORK NY)
NY
01/03/2002 - 10/01/2004
LABRANCHE & CO. LLC (NEW YORK NY)
BC
Issued 01/09/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/14/2009
Series 7 - General Securities Representative Examination
BC
Issued 02/24/2004
Series 21 - NYSE Front Line Specialist Clerk
BC
Issued 01/15/2003
Series 25 - NYSE Trading Assistant Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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