Sean David Whalen

Employer firm

Strategic Wealth Management LLC CRD 335792

$79.5M regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2006 → 06/2017
  Sovereign Bank
  Boston, MA
• 09/2012 → 06/2017
  Santander Securities Llc
  Guaynabo, PR
• 02/2018 → 07/2025
  Asset Strategy Advisors, Llc
  Natick, MA
• 02/2018 → 05/2018
  Triad Advisors
  Norcross, GA
• 07/2017 → 01/2018
  Radius Capital Management
  Concord, MA
• 05/2018 → 09/2025
  Concorde Investment Services, Llc
  Ann Arbor, MI
• 08/2025 → 09/2025
  Concorde Asset Management, Llc
  Ann Arbor, MI
• 08/2025 → Present
  Strategic Wealth Management
  South Natick, MA
• 09/2025 → Present
  Dai Securiites Llc
  Atlanta, GA

Previous Registrations

• 2025-08-19 → 2025-09-26
  Concorde Asset Management, Llc
  Ann Arbor, MI
  S. Natick, MA
• 2018-02-12 → 2025-07-25
  Asset Strategy Advisors, Llc
  Wayland, MA
• 2017-08-05 → 2018-02-14
  Radius Capital Management, Llc
  Boston, MA
  Concord, MA
• 2012-09-26 → 2017-06-28
  Santander Securities Llc
  Boston, MA
  Boston, MA
• 2011-06-23 → 2012-09-19
  Lpl Financial Llc
  Boston, MA

Other Businesses

1) Home rental property; Not investment related; Natick, MA; owner of a multi-family house where I rent and manage the property; 10/2005; 1-5 hours/month during trading hours. 2) Strategic Wealth Management, LLC. Investment-related. South Natick, MA. Managing Director & Wealth Manager, advisory business & wealth management. 6-10 hours/month during non-business hours, 21-40 hours/month during business hours; RIA that manages investments for individual clients. 3) Strategic Wealth Holdings, Inc.; investment related: No; Location of the business: 8 Pleasant Street South Natick MA 01760; A holding company for business and accounting purposes; Position Title: Treasurer; Responsibilities Duties: Treasurer; Start date with business: 2026-01-06; Hours per month during trading hours: 2; Hours per month outside trading hours: 2.

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-06-26
• S63 Uniform Securities Agent State Law Examination
  1999-09-15

Designations

• Certified Financial Planner