Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Patrick Whelan is a financial advisor with over 30 years of experience in the financial services industry. Steven Whelan is currently registered with Raymond James & Associates, Inc. in Woodbury, NY. Prior to this, Steven Whelan was registered with Oppenheimer & Co. Inc., Prime Charter Ltd., Gruntal & Co. Incorporated, and Smith Barney Shearson Inc. Steven Whelan holds a variety of licenses and certifications including Series 7, 9, 10, 24, 63, 66, 99TO and SIE. Steven Whelan specializes in providing financial advice and services to a variety of clients including individuals, corporations, 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.
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.
Please see note in schedule d - miscellaneous
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
05/13/2022 - Present
Raymond James & Associates, Inc. (WOODBURY NY)
NY
01/02/2002 - 05/16/2022
OPPENHEIMER & CO. INC. (HAUPPAUGE NY)
NY
04/04/1997 - 01/02/2002
PRIME CHARTER LTD. (NEW YORK NY)
NA
06/07/1996 - 04/16/1997
ALEX. BROWN & SONS INCORPORATED
NY
09/13/1993 - 06/10/1996
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 09/24/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
07/15/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
03/20/1991 - 09/09/1992
A.J. MICHAELS & CO., LTD. (HAUPPAUGE NY)
NY
12/03/1990 - 04/09/1991
COMMONWEALTH ASSOCIATES (NEW YORK NY)
NA
02/02/1990 - 12/07/1990
GLOBAL AMERICA INCORPORATED
NA
10/24/1989 - 02/12/1990
J. T. MORAN & CO., INC.
NY
04/14/1989 - 11/06/1989
BEST INVESTORS GROUP, INC. (HAUPPAUGE NY)
NA
03/23/1989 - 04/24/1989
DUNHILL INVESTMENTS LTD.
NA
08/20/1987 - 03/10/1989
INVESTORS CENTER INCORPORATED
NA
03/19/1985 - 08/27/1987
BLINDER, ROBINSON & CO., INC.
BOTH
Issued 07/28/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/26/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/14/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/21/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/25/1997
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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