James Whalen, financial advisor Rehoboth Beach DE

James Whalen

CRD 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.

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Professional Designations
Company Name Location Dates Years
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
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, and financial matters in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for James Whalen
Phone Number: (302) 752-6637
Registered State(s):
  • DE
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States


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