Carol Ann Whelan

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

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

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

Current Employers

Employment History

• 12/2013 → 12/2018
  Questar Capital Corporation
  Minneapolis, MN
• 12/2013 → 12/2018
  Questar Asset Management
  Minneapolis, MN
• 12/2018 → 03/2024
  Cetera Advisors
  Denver, CO
• 12/2013 → Present
  Whelan And Associates, Llc.
  Farmington, CT
• 03/2024 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 03/2024 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2018-12-26 → 2024-03-19
  Cetera Advisors Llc
  Farmington, CT
  Farmington, CT
  Greenwood Village, CO
• 2013-12-09 → 2018-12-24
  Questar Asset Management, Inc.
  Minneapolis, MN
  Farmington, CT
• 2011-01-03 → 2013-12-12
  Voya Financial Advisors, Inc.
  Farmington, CT
  Windsor, CT
  Windsor, CT
• 2004-12-06 → 2010-12-31
  Voya Financial Partners, Llc
  Glastonbury, CT
  Farmington, CT
  Windsor, CT
  Farmington, CT

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF AN RIA, INV REL, 160 HR/MO, 120 HR/MO TRADING, 03/01/2024 2) WHELAN & ASSOCIATES, 158 Town Farm Road, Farmington CT 06032, United States, 09/22/2025, President, Insurance/Benefits/Human Resources, INV REL, 160 HR/MO - 120 HR/MO TRADING 3) AFES, 158 Town Farm Road, Farmington CT 06032, United States, 09/22/2025, AFES Instructor, Volunteer, NIR, 3 HR/MO - 3 HR/MO TRADING

Exams

• S66 Uniform Combined State Law Examination
  2000-12-04

Other Names

• Carol Ann Masury