Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Whalen is a financial professional with over 25 years of experience in the industry. Michael is currently registered with Jane Street Capital, LLC and Jane Street Execution Services, LLC. Michael's previous experience includes roles at Merrill Lynch, Pierce, Fenner & Smith Incorporated, TD Waterhouse Capital Markets, Inc., BrokerageAmerica, LLC and National Financial Services LLC. Michael holds a variety of licenses including Series 3, 7, 10, 24, 55, 57TO, 63, and 66.
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.
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.
1
2
NY
03/08/2017 - Present
Jane Street Capital, LLC (NEW YORK NY)
NY
10/29/2009 - 03/06/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/26/2007 - 04/28/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NE
06/11/2002 - 05/11/2005
TD WATERHOUSE CAPITAL MARKETS, INC. (BELLEVUE NE)
NY
04/15/2002 - 06/05/2002
BROKERAGEAMERICA, LLC (NEW YORK NY)
NY
02/25/2002 - 04/15/2002
BROKERAGEAMERICA, INC (NE W YORK NY)
MA
07/13/1998 - 11/29/2001
NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)
RI
03/24/1998 - 07/13/1998
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
MA
03/21/1995 - 03/24/1998
NATIONAL FINANCIAL SERVICES CORPORATION (BOSTON MA)
RI
04/21/1994 - 03/21/1995
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NJ
08/31/1992 - 11/27/1992
NORI, HENNION, WALSH, INC. (PARSIPPANY NJ)
BOTH
Issued 02/06/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/02/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/19/2013
Series 24 - General Securities Principal Examination
BC
Issued 08/29/2024
Series 3 - National Commodity Futures Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/25/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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