Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Whalen is a financial professional with over 24 years of experience in the securities industry. Thomas is currently registered with Fidelity Brokerage Services LLC and has a Series 7, 9, 10, 4, and 63 license. Thomas holds active registrations in Kentucky, Massachusetts, Ohio, Texas and Utah. Thomas is a dedicated professional committed to helping individuals and families achieve their financial goals.
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
KY
02/06/1998 - Present
Fidelity Brokerage Services LLC (COVINGTON KY)
BC
Issued 02/13/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/22/2008
Series 4 - Registered Options Principal Examination
BC
Issued 08/28/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/07/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/05/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
Not sure Thomas Whalen is the right advisor for you? Invested Better is here to help.
