Steven Patrick Whelan

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2022-05-13

NY RA
APPROVED

Since 2022-05-13

Branch Locations

135 Crossways Park Drive Suite 104, Woodbury, NY 11797 • 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
Fahnestock & Co. Inc.	New York	NY	01/2002	05/2022
Raymond James & Associates, Inc.	Woodbury	NY	05/2022	Present

01/2002 → 05/2022

Fahnestock & Co. Inc.

New York, NY
05/2022 → Present

Raymond James & Associates, Inc.

Woodbury, NY

Previous Registrations

2008-07-29 → 2022-05-16

Oppenheimer & Co. Inc.

Boca Raton, FL

Boca Raton, FL

Hauppauge, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-07-28
S63	Uniform Securities Agent State Law Examination	1985-03-26

S66 Uniform Combined State Law Examination

2008-07-28
S63 Uniform Securities Agent State Law Examination

1985-03-26

Other Names

Steve Patrick Whelan

View on SEC IAPD

Current Employers

Raymond James & Associates, Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

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