Gregg Whelan
Gregg Whelan is a registered investment advisor at Oppenheimer & CO. INC., based in Carlsbad, CA, with 42 years of industry experience. Their practice areas include Financial Planning & Coaching, High Net Worth, Retirement Planning. Their firm serves 37,605 clients with $32B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Oppenheimer offers several investment management programs with different fee structures:
- Fahnestock Asset Management (FAM): Fees up to 2.5% of your portfolio. Commissions are also charged on certain FAM accounts.
- Alpha: Clients pay brokerage commissions and ticket/handling charges on securities transactions.
- Preference: Fees up to 2.25% of your portfolio. Additional charges may apply based on trading activity.
Minimum account sizes vary depending on the program and the types of investments included in the account. The minimum annual fee for FAM and Preference accounts is $250, but this is waived if the account is at least $50,000 or household advisory accounts are at least $250,000.
Location
2121 Palomar Airport Road, Suite 130, Carlsbad, CA, 92011
Get directionsHistory
Regulatory History (6)
Customer Dispute
September 2012Customer Dispute
August 2002Customer Dispute
July 2002Customer Dispute
January 2002Customer Dispute
April 2001Customer Dispute
November 1987Employment History
Current Registrations
Oppenheimer & CO. INC.Broker
Oppenheimer & CO. INC.
Previous Registrations
D.A. Davidson & CO.Broker
D.A. Davidson & CO.
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Painewebber IncorporatedBroker
Everen Securities, INC.Broker
Bateman Eichler, Hill Richards, IncorporatedBroker
State Registrations16 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.