James Whelan is a registered investment advisor, based in Parsippany, NJ, with 7 years of industry experience.
Location
14 Walsh Dr, Ste 100, Parsippany, NJ, 07054
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James works as an agent/broker for Allied Wealth Partners, selling fixed insurance. This activity requires minimal time.
Employment History
Current Registrations
Cetera Wealth Services, LLCBroker
August 2023 - Present · 3 yrs 1 mo
Cetera Investment Advisers LLC
August 2023 - Present · 3 yrs 1 mo
Cetera Wealth Services, LLC
August 2023 - Present · 3 yrs 1 mo
Previous Registrations
Securian Financial Services, INC.
January 2019 - August 2023 · 4 yrs 7 mos
Securian Financial Services, INC.Broker
August 2018 - August 2023 · 5 yrs
State Registrations30 states
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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.