Thomas Gerard 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

• 08/2007 → 10/2018
  Signator Investors Inc
  Roseland, NJ
• 10/2018 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 10/2018 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2007-08-23 → 2018-10-22
  Signator Investors, Inc.
  Livingston, NJ
• 2003-04-23 → 2007-08-28
  Park Avenue Securities Llc
  Paramus, NJ
  Paramus, NJ

Other Businesses

1. TOM WHELAN, 61 SUN VALLEY RD, RAMSEY, NJ, RENTAL PROPERTY, SUMMER BEACH HOUSE RENTAL, 11/12/15, NIR, 20/YR- 0/TRADING 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 40/TRADING. 10/18/18. 3. SPRING POINT SENIOR LIVING, 4814 OUTLOOK DR, WALL TOWNSHIP, NH, 1/2019 AS FINANCE BOARD MEMBER. NIR - 5/MO - 0/TRADING. 4. WHELAN SCOTT ASSET MANAGEMENT, 1 MADISON AVE, MADISON NJ, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES,11/12/95, NIR, 10/YR- 0/TRADING 5. WHELAN SCOTT ASSET MANAGEMENT, 1 MADISON AVE, MADISON, NJ, CO-OWNER OF BUSINESS PROPERTY, 05/07/19, INV REL, 10 HR/YR- 0/TRADING HR. 6. TOM WHELAN,96 OCEAN LANE, SEASIDE PARK, NJ, RENTAL PROPERTY, 01/06/20, NIR, 20 HR/YR- 0/TRADING HR.

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-12-03
• S63 Uniform Securities Agent State Law Examination
  1994-04-21

Other Names

• Thomasm Whelan
• Tom Whelan