Kim Thanh Dang

Employer firm

Whalen Financial CRD 311869

$223M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• 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

• 01/2017 → 10/2017
  Merrill Lynch
  Seal Beach, CA
• 09/2014 → 11/2016
  First Bank
  Newport Beach, CA
• 11/2016 → 01/2017
  Unemployed
  Huntington Beach, CA
• 11/2017 → 07/2019
  Miramontes Capital
  Newport Beach, CA
• 03/2018 → 07/2019
  Pks
  Albany, NY
• 01/2021 → 04/2023
  Purshe Kaplan Sterling Investments
  Albany, NY
• 09/2019 → 04/2023
  Whalen Financial
  Las Vegas, NV
• 01/2021 → 04/2023
  Whalen Enterprises Inc. Dba Whalen Financial
  Las Vegas, NV
• 04/2023 → 04/2026
  Independent Financial Group, Llc
  Henderson, NV
• 04/2023 → 04/2026
  Cornerstone Wealth Management
  Henderson, NV
• 05/2026 → Present
  Whalen Financial
  Las Vegas, NV

Previous Registrations

• 2023-05-01 → 2026-05-01
  Independent Financial Group, Llc
  Henderson, NV
  San Diego, CA
• 2021-03-02 → 2023-04-19
  Whalen Financial
  Las Vegas, NV
• 2019-10-07 → 2021-01-25
  Lpl Financial Llc
  Las Vegas, NV
• 2017-11-17 → 2019-07-08
  Miramontes Capital, Llc
  Irvine, CA
  Newport Beach, CA
• 2017-09-05 → 2017-10-31
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Seal Beach, CA

Exams

• S66 Uniform Combined State Law Examination
  2017-09-01

Other Names

• Thanh Kim Dang
• Kim Dang