Andrew Joseph Whalen

Current Employers

Employment History

• 01/2002 → Present
  The Whalen Group
  Las Vegas, NV
• 05/2013 → 11/2017
  National Planning Corporation
  Santa Monica, CA
• 11/2017 → 01/2021
  Lpl Financial Llc
  Las Vegas, NV
• 01/2021 → 10/2025
  Purshe Kaplan Sterling Investments
  Albany, NY
• 01/2010 → Present
  Whalen Financial
  Las Vegas, NV
• 01/2021 → Present
  Whalen Enterprises Inc. Dba Whalen Financial
  Las Vegas, NY

Previous Registrations

• 2017-11-29 → 2021-01-25
  Lpl Financial Llc
  Las Vegas, NV
  Henderson, NV
• 2013-05-21 → 2017-12-01
  National Planning Corporation
  Las Vegas, NV
  Las Vegas, NV
  El Segundo, CA
  Henderson, NV
  Los Angeles, CA
• 2013-05-10 → 2013-05-23
  J. W. Cole Advisors, Inc.
  Tampa, FL
• 2011-10-25 → 2013-05-10
  Financial Advisers Of America, Llc
  Carlsbad, CA
  Las Vegas, NV
  Carlsbad, CA
  Henderson, NV

Other Businesses

1) Whalen Financial. Investment Related. See Registered Branch Location. RIA, CEO, Investment Advisor. Start 1/2021. 160hrs/mo, all during trading hours. RIA. 2) Fixed Insurance. Non-Investment Related. See Registered Branch Location. Fixed/Traditional Insurance Agent. Start 1/2021. 4hrs/mo, during trading hours. Sales of Fixed/Traditional insurance products. 3) Whalen & Associate Insurance Services, Inc. Investment Related. See Registered Branch Location. Agent and advisor. Host seminars on estate planning. Start 11/2017. 2hrs/mo, during trading hours. Seminars. 4) THE WHALEN GROUP INC.; CEO; INVESTMENT RELATED: NO; See Registered Branch Location; THE WHALEN GROUP INC. IS A TAX PREPARATION AND BOOKKEEPING SERVICE COMPANY. THE FIRM IS COMPENSATED N THREE WAYS - TAX RETURN PREPARATION, BOOKKEEPING ACTIVITIES, AND FAMILY TRUST PREPARATION; BUSINESS PLANNING, EXECUTIVE DECISIONS, MANAGEMENT OF EMPLOYEES; 2021-01-01; HOURS DEVOTED TO BUSINESS DURING TRADING HOURS: 1; HOURS DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 1; PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 10; 5) Whalen Private Wealth. Investment Related. 7160 Rafael Rivera Way Suite 220, Las Vegas, NV 89113. S Corp. Owner/CEO. 10/2024. 6 hrs/month. 6 hrs during securities hrs. Pass PKS commissions into once paid to me as an individual. 6) CWM Publishing. Investment Related. 7160 Rafael Rivera Way Suite 220, Las Vegas, NV 89113. Book Sales. Owner. 11/2024. .25 hrs/month. 05 hrs during securities hrs. I have written and self-published the book (Confessions of a Wealth Manager). Book & merchandise sales.

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-10-20
• S63 Uniform Securities Agent State Law Examination
  2009-12-16