James Thomas Whalen Iii

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 06/2014 → Present
  Morgan Stanley
  Saratoga Springs, NY
• 01/2015 → Present
  Morgan Stanley Private Bank, N.A.
  New York, NY

Other Businesses

BUSINESS / COMPANY;OKEMO MOUNTAIN RESORT;COACHING SKI RACING ON THE WEEKENDS;8 HRS OUTSIDE BUSINESS ACTIVITY *206876 - Vail Resorts; Investment related: No; Broomfield, Colorado; Recreation; Employee (proprietor, partner, officer, director, employee, trustee, agent); 12/2025; During business hours: 0; After business hours: 16; Coachin kids age 7-9 in various ski racing fundamentals

Exams

• S66 Uniform Combined State Law Examination
  2014-08-19

Other Names

• James Thomas Whalen
• James Thomas Whalen