James Whalen, financial advisor Englewood NJ
96 score

James Whalen

CRD Number: 5936940
Current Firm: Pathstone Federal Street

James Whalen (CRD# 5936940) is an Investment Advisor Representative working at Pathstone Federal Street in Englewood, NJ and has over 6 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
Pathstone Federal Street Potomac, MD Nov 2016 - Current 1
Convergent Wealth Advisors Potomac, MD Jun 2011 - Oct 2016 5
Merrill Lynch Memphis, TN Sep 2010 - May 2011 < 1
Rhodes College Work Study Memphis, TN Aug 2010 - May 2011 < 1
Jas Cleaning Services Hilton Head, SC May 2008 - May 2011 3
Rhodes College Memphis, TN Aug 2007 - May 2011 3
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Dec 2011
Contact Info for James P. Whalen
Phone Number: 201-944-7284
Firm Website: http://www.pathstone.com
Registered State(s):
  • MD
By the Numbers
  • Total Assets Under Management
    8,544
    MILLIONS
  • Total Number of Accounts
    6,146
    ACCOUNTS
  • Average Account Value
    $1,390,161
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • 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
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AL, CA, CT, DC, DE, FL, GA, IL, LA, MA, MD, ME, MI, MS, NC, NH, NJ, NV, NY, OH, OR, PA, RI, SC, TN, TX, VA, VT, WA

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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