SW
SW
Steven Whelan
40 Years of Experience
Woodbury, NY
1 DisclosureBroker
Steven Whelan is a registered investment advisor at Raymond James & Associates, INC., based in Woodbury, NY, with 40 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
Loading...
Location
135 Crossways Park Drive, Suite 104, Woodbury, NY, 11797
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2011Settled
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
May 2022 - Present · 4 yrs 2 mos
Raymond James & Associates, INC.
May 2022 - Present · 4 yrs 2 mos
Previous Registrations
Oppenheimer & CO. INC.
July 2008 - May 2022 · 13 yrs 10 mos
Oppenheimer & CO. INC.Broker
January 2002 - May 2022 · 20 yrs 4 mos
Prime Charter LTD.Broker
April 1997 - January 2002 · 4 yrs 9 mos
Alex. Brown & Sons IncorporatedBroker
June 1996 - April 1997 · 10 mos
Gruntal & CO. IncorporatedBroker
September 1993 - June 1996 · 2 yrs 9 mos
Smith Barney Shearson INC.Broker
July 1993 - September 1993 · 2 mos
Lehman Brothers INC.Broker
July 1992 - July 1993 · 1 yr
A.J. Michaels & CO., LTD.Broker
March 1991 - September 1992 · 1 yr 6 mos
Commonwealth AssociatesBroker
December 1990 - April 1991 · 4 mos
Global America IncorporatedBroker
February 1990 - December 1990 · 10 mos
J. T. Moran & CO., INC.Broker
October 1989 - February 1990 · 4 mos
Best Investors Group, INC.Broker
April 1989 - November 1989 · 7 mos
Dunhill Investments LTD.Broker
March 1989 - April 1989 · 1 mo
Investors Center IncorporatedBroker
August 1987 - March 1989 · 1 yr 7 mos
Blinder, Robinson & CO., INC.Broker
March 1985 - August 1987 · 2 yrs 5 mos
State Registrations12 states
AZCACOFLILINMENCNJNYPAVA
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.