TrueAdvisor
TrueAdvisor
JW
ChFC
JW
ChFC

John Whalen

Commonwealth Financial Network
36 Years of Experience
Honolulu, HI
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

John Whalen is a ChFC-designated registered investment advisor at Commonwealth Financial Network, based in Honolulu, HI, with 36 years of industry experience. John is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 360,488 clients with $210B in assets under management.

Commonwealth Financial Network
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2904 advisors
Number of Clients
360,488 clients
Average Client Portfolio
$590K average
Assets Under Management
$212.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$600
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $750K2.25%
$750K - $1.0M2.00%
$1.0M - $2.0M1.75%
$2M+1.50%

Fees are negotiable. Schedule represents maximum allowable annual management fees for PPS Custom programs. Other programs like PPS Select and PPS Direct have separate advisor and program fee schedules.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1001 Bishop Street, Suite 2650, Honolulu, HI, 96813

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History

Regulatory History (3)
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
September 2024
Denied
Customer Dispute
March 2022
Settled
Customer Dispute
March 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

John sells fixed insurance products through Wealth Strategies Group. He is also a co-owner of an entity that rents out branch office space.

Employment History
Current Registrations
Commonwealth Financial Network
June 2015 - Present · 11 yrs 4 mos
Commonwealth Financial NetworkBroker
May 2015 - Present · 11 yrs 5 mos
Previous Registrations
Commonwealth Financial Network
May 2015 - May 2015 · 0 mos
Vsr Advisory Services
November 2010 - May 2015 · 4 yrs 6 mos
Vsr Financial Services, INC.Broker
November 2010 - May 2015 · 4 yrs 6 mos
Vsr Advisory Services
November 2010 - November 2010 · 0 mos
AXA Advisors, LLC
August 2000 - November 2010 · 10 yrs 3 mos
AXA Advisors, LLCBroker
March 1990 - November 2010 · 20 yrs 8 mos
The Equitable Life Assurance Society of the United StatesBroker
March 1990 - January 2000 · 9 yrs 10 mos
State Registrations12 states
ALCACOHIILNCNVORPATXVAWA
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.
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