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Thomas Whelan is a registered investment advisor, based in Morristown, NJ, with 33 years of industry experience.
Location
89 Headquarter Plaza, North Tower 14th Floor, Morristown, NJ, 07960
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Regulatory History (1)
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Customer Dispute
February 2010Denied
Other Business ActivitiesSells Insurance
Thomas is involved in several business activities, including owning rental properties and serving as an advisory representative of a Registered Investment Advisor (RIA). He is also an independent insurance agent and co-owner of business property.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
October 2018 - Present · 7 yrs 7 mos
Cambridge Investment Research, INC.Broker
October 2018 - Present · 7 yrs 7 mos
Previous Registrations
Signator Investors, INC.
August 2007 - October 2018 · 11 yrs 2 mos
Signator Investors, INC.Broker
August 2007 - October 2018 · 11 yrs 2 mos
Park Avenue Securities LLC
April 2003 - August 2007 · 4 yrs 4 mos
Park Avenue Securities LLCBroker
May 1999 - August 2007 · 8 yrs 3 mos
Guardian Investor Services CorporationBroker
June 1995 - May 1999 · 3 yrs 11 mos
Cadaret, Grant & CO., INC.Broker
March 1995 - December 1996 · 1 yr 9 mos
John Hancock Distributors, INC.Broker
June 1992 - March 1995 · 2 yrs 9 mos
John Hancock Mutual Life Insurance CompanyBroker
June 1992 - March 1995 · 2 yrs 9 mos
State Registrations13 states
AKAZCOCTDEFLMANCNJNMNYPASC
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.