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Samuel Joseph Whalen

Charles Schwab & CO., Inc.

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About Samuel Joseph Whalen

Samuel Joseph Whalen is a financial professional with over 5 years of experience in the financial services industry. Samuel Whalen holds Series 63, Series 65, Series 7TO, and SIE licenses. Samuel is currently registered with Charles Schwab & CO., Inc. and is licensed in Maryland and Virginia. Samuel has previously been employed by TD AMERITRADE, INC. and WELLS FARGO CLEARING SERVICES, LLC. Samuel Whalen's professional experience includes working with a variety of clients, including high-net-worth individuals, corporations, and other businesses. Samuel Whalen's expertise includes financial planning, investment management, and retirement planning.

Firm Information

Samuel Whalen is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

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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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Samuel Whalen’s Registration & Firm History

VA

12/22/2021 - Present

Charles Schwab & CO., Inc. (Virginia Beach VA)

VA

10/21/2022 - 07/29/2024

TD AMERITRADE, INC. (Virginia Beach VA)

MD

08/01/2019 - 11/02/2021

WELLS FARGO CLEARING SERVICES, LLC (BETHESDA MD)

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Licenses & Designations

IA

Issued 09/04/2019

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/12/2019

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/07/2022

Series 7TO - General Securities Representative Examination

BC

Issued 08/01/2019

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 07/11/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Samuel Joseph Whalen.
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