James WhalenCRD Number: 5876202
Current Firm: Blue Rock Financial Group
James Whalen (CRD# 5876202) is an Investment Advisor Representative working at Blue Rock Financial Group in Rehoboth Beach, DE and has over 11 years of experience in the finance industry. James Whalen has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Lpl Financial LLC
Ballast Financial Advisors, LLC
Dfpg Investments, LLC
|Dravo Bay, Llc Dba Blue Rock Dravo Bay||Wilmington, DE||Oct 2018 - Current||5|
|Blue Rock Financial Group||Wilmington, DE||May 2017 - Oct 2018||1|
|Self Employed||Wilmington, DE||Jul 2016 - May 2017||< 1|
|Anthony Stanley||Philadelphia, PA||Feb 2016 - Jul 2016||< 1|
|Northwestern Mutual Investment Services LLC||Philadelphia, PA||Jan 2016 - Jul 2016||< 1|
|Northwestern Mutual Wealth Management Company||Milwaukee, WI||Jan 2016 - Jul 2016||< 1|
|Hanlon Financial Group||Egg Harbor Township, NJ||Jun 2014 - Jan 2016||1|
|Unemployed||Philadelphia, PA||Feb 2014 - Jun 2014||< 1|
|Goldman Sachs||Philadelphia, PA||Oct 2012 - Feb 2014||1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jun 2012|
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.Get Details on the FINRA Advisor Check site
Total Assets Under Management207MILLIONS
Total Number of Accounts608ACCOUNTS
Average Account Value$340,954
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
DE, MD, NJ, PA
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