James N Whelan

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2023-08-10
TX	RA	APPROVED_RES	2023-08-10

NJ RA
APPROVED

Since 2023-08-10
TX RA
APPROVED_RES

Since 2023-08-10

Branch Locations

14 Walsh Dr Ste 100, Parsippany, NJ 07054 • 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

Organization	City	State	From	To
Securian Financial Services Inc	St. Paul	MN	08/2018	08/2023
Minnesota Life Insurance Co	St. Paul	MN	08/2018	08/2023
Allied Wealth Partners	Parsippany	NJ	08/2018	Present
Franklin And Marshall College	Lancaster	PA	08/2014	05/2018
Corporate Jet Support	Moonachie	NJ	06/2017	08/2017
Cetera Wealth Services, Llc	Parsippany	NJ	08/2023	Present
Cetera Investment Advisers Llc	Schaumburg	IL	08/2023	Present

08/2018 → 08/2023

Securian Financial Services Inc

St. Paul, MN
08/2018 → 08/2023

Minnesota Life Insurance Co

St. Paul, MN
08/2018 → Present

Allied Wealth Partners

Parsippany, NJ
08/2014 → 05/2018

Franklin And Marshall College

Lancaster, PA
06/2017 → 08/2017

Corporate Jet Support

Moonachie, NJ
08/2023 → Present

Cetera Wealth Services, Llc

Parsippany, NJ
08/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2019-01-08 → 2023-08-10

Securian Financial Services, Inc.

Parsippany, NJ

St. Paul, MN

Other Businesses

ALLIED WEALTH PARTNERS POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/01/2018 ADDRESS: , Parsipanny NJ , United States DESCRIPTION: Agent/Broker

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-11-12

S66 Uniform Combined State Law Examination

2018-11-12

View on SEC IAPD