Harold Whalen, financial advisor Santa Fe NM

Harold Whalen

CRD Number: 4558083
Current Firm: Thornburg Investment Management Inc.

Harold Whalen (CRD# 4558083) is an Investment Advisor Representative working at Thornburg Investment Management Inc. in Santa Fe, NM and has over 20 years of experience in the finance industry.

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Company Name Location Dates Years
Thornburg Securities Corp. Santa Fe, NM Mar 2020 - Current 4
Natixis Global Associates Boston, MA Apr 2011 - Mar 2020 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2004
S65 NASAA Investment Advisors Law Examination Mar 2008
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Harold T. Whalen
Phone Number: 505-467-7283
Registered State(s):
  • MD
  • NM
By the Numbers
  • Total Assets Under Management
    38,735
    MILLIONS
  • Total Number of Accounts
    658
    ACCOUNTS
  • Average Account Value
    $58,868,210
Compensation Options
  • A percentage of assets under your management
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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