Timothy WhalenCRD Number: 1005750
Current Firm: Northwestern Mutual Investment Services,llc
Timothy Whalen (CRD# 1005750) is an Investment Advisor Representative working at Northwestern Mutual Investment Services,llc in Clarksburg, WV and has over 20 years of experience in the finance industry.
Centaurus Financial, Inc.
Allegheny Investments, Ltd.
Northwestern Mutual Investment Services,llc
|Northwestern Mutual Wealth Management Company||Milwaukee, WI||Jan 2016 - Current||2|
|Northwestern Mutual Investment Services, LLC||Milwaukee, WI||Jul 1981 - Current||36|
|Northwestern Mutual Life Investment Serv||Milwaukee, WI||Jun 1981 - Current||37|
|Northwestern Mutual Life||Milwaukee, WI||Jun 1978 - Current||40|
|Northwestern Mutual Investment Services, LLC||Clarksburg, WV||Jan 2014 - Mar 2016||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1998|
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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Regulatory Event
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Fixed fees (other than subscription fees)
- Selection of other advisers (including private fund managers)
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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV
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