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James P Whalen

Wells Fargo Clearing Services, LLC

Fort Worth, TX

Lake Worth, TX

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-12-19
  • TX RA
    APPROVED
    Since 2025-12-19

Branch Locations

201 Main St 4Th Fl [Tg-Rbo], Fort Worth, TX 76102 • United States

6632 Lake Worth Blvd, Lake Worth, TX 76135 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Autobahn Bmw Fort Worth TX 09/2012 04/2023
Bmw Of Dallas Dallas TX 05/2023 04/2024
Leeco Steel Fort Worth TX 05/2024 01/2025
Northwestern Mutual Life Insurance Company Milwaukee WI 03/2025 10/2025
Northwestern Mutual Investment Services Llc Mansfield TX 03/2025 10/2025
Wells Fargo Clearing Services, Llc Fort Worth TX 10/2025 Present
  • 09/2012 → 04/2023
    Autobahn Bmw
    Fort Worth, TX
  • 05/2023 → 04/2024
    Bmw Of Dallas
    Dallas, TX
  • 05/2024 → 01/2025
    Leeco Steel
    Fort Worth, TX
  • 03/2025 → 10/2025
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 03/2025 → 10/2025
    Northwestern Mutual Investment Services Llc
    Mansfield, TX
  • 10/2025 → Present
    Wells Fargo Clearing Services, Llc
    Fort Worth, TX
Previous Registrations
  • 2009-02-26 → 2010-03-04
    Msi Financial Services, Inc.
    Fort Worth, TX
    Dallas, TX
  • 2007-10-29 → 2008-10-20
    Ubs Financial Services Inc.
    Ft. Worth, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-12-19
  • S66 Uniform Combined State Law Examination
    2025-12-19
Other Names
  • James P Whalen
  • James Patrick Whalen
  • James Patrick Whalen Jr.

View on SEC IAPD

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SELADOR CAPITAL MANAGEMENT, LP
INDEPENDENCE SQUARE HOLDINGS, LLC
EAGLE STRATEGIES LLC

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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · Fort Worth, TX
M2G VENTURES LLC · FORT WORTH, TX
ACHELION CAPITAL MANAGEMENT, LLC · FORT WORTH, TX
J.P. MORGAN SECURITIES LLC · FT. WORTH, TX
GOOD LIFE PRIVATE WEALTH, LLC · FORT WORTH, TX
SELADOR CAPITAL MANAGEMENT, LP · FT. WORTH, TX
INDEPENDENCE SQUARE HOLDINGS, LLC · Fort Worth, TX
EAGLE STRATEGIES LLC · FORT WORTH, TX

More in Fort Worth, TX

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