Gregg William Whelan

Current Employers

Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-12-01
TX	RA	APPROVED_RES	2023-11-30

CA RA
APPROVED

Since 2023-12-01
TX RA
APPROVED_RES

Since 2023-11-30

Branch Locations

680 Newport Center Drive Suite 200, Newport Beach, CA 92660 • United States

2121 Palomar Airport Road Suite 130, Carlsbad, CA 92011 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Raymond James & Associates	Newport Beach	CA	10/2009	09/2019
D.A. Davidson & Co.	Long Beach	CA	09/2019	11/2023
Oppenheimer & Co. Inc.	Carlsbad	CA	11/2023	Present

10/2009 → 09/2019

Raymond James & Associates

Newport Beach, CA
09/2019 → 11/2023

D.A. Davidson & Co.

Long Beach, CA
11/2023 → Present

Oppenheimer & Co. Inc.

Carlsbad, CA

Previous Registrations

2019-09-27 → 2023-12-20

D.A. Davidson & Co.

Newport Beach, CA

Long Beach, CA
2009-10-12 → 2019-10-10

Raymond James & Associates, Inc.

Newport Beach, CA
2007-06-15 → 2009-10-12

Wells Fargo Clearing Services, Llc

Newport Beach, CA
2000-08-01 → 2007-06-29

Citigroup Global Markets Inc.

Long Beach, CA

Long Beach, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-09-15
S63	Uniform Securities Agent State Law Examination	1983-11-18

S65 Uniform Investment Adviser Law Examination

1995-09-15
S63 Uniform Securities Agent State Law Examination

1983-11-18