Brandon WhaleyCRD Number: 6091906
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Brandon Whaley (CRD# 6091906) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Saint Louis, MO and has over 5 years of experience in the finance industry.
Financial Planning Associates, Inc.
Cutter & Company, Inc.
Carsonallaria Wealth Management, Ltd.
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||St. Louis, MO||Oct 2014 - Current||3|
|Bank Of America, N.a.||St. Louis, MO||Oct 2014 - Current||3|
|First Brokerage America, LLC||St. Louis, MO||Mar 2014 - Sep 2014||< 1|
|Edward Jones||St. Louis, MO||Jul 2012 - Feb 2014||1|
|Midwest Bankcentre||St. Louis, MO||Aug 2010 - Jul 2012||1|
|Walgreens||St. Louis, MO||Jan 2008 - Aug 2010||2|
|Walmart||Cape Girardeau, MO||Jun 2007 - Jan 2008||< 1|
|Southeast Missouri State Bookstore||Cape Girardeau, MO||May 2006 - Jan 2008||1|
|Walgreens||Cape Girardeau, MO||Jun 2006 - Jun 2007||1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Sep 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. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management575,342MILLIONS
Total Number of Accounts1,715,259ACCOUNTS
Average Account Value$335,425
- 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
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV