James Whelan, financial advisor Wellesley MA
61 score

James Whelan

CRD Number: 872806
Current Firm: Capitol Securities Management, Inc.

James Whelan (CRD# 872806) is an Investment Advisor Representative working at Capitol Securities Management, Inc. in Wellesley, MA and has over 18 years of experience in the finance industry.

Similar Advisors
Christopher Grande, financial advisor Wellesley MA
Christopher Grande
CRD# 2616253
Walnut Hill Advisors, LLC
Score
104
Similar Advisors
Lawrence Foster, financial advisor Wellesley MA
Lawrence S. Foster
CRD# 3090482
Woodstock Corporation
Score
102
Similar Advisors
Patrick Cote, financial advisor Wellesley MA
Patrick R. Cote
CRD# 5189191
Assetgrade, LLC
Score
103
Company Name Location Dates Years
#ia Capitol Securities Management, Inc. Mclean, VA Feb 1998 - Current 18
Capitol Securities Management, Inc. Mclean, VA Feb 1998 - Current 18
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1998
S65 NASAA Investment Advisors Law Examination Apr 1998
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. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Regulatory Event
  • Judgments / Liens
Get Details on the FINRA Advisor Check site
Contact Info for James D. Whelan
Phone Number: 888-612-1484
Registered State(s):
  • CO
  • FL
  • VA
  • MD
  • PA
By the Numbers
  • Total Assets Under Management
    539
    MILLIONS
  • Total Number of Accounts
    1,789
    ACCOUNTS
  • Average Account Value
    $301,110
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

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

Ready to hire a financial advisor? Get competitive proposals from James Whelan and other advisors.
BADGES
61

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.