Andrew Whalen has been Chief Compliance Officer & President of Whalen Wealth Management since November 2020, is a control person of the firm and directly owns 75% or more of it.
Whalen Wealth Management Inc. is a Las Vegas, NV firm with $223M under management, 400 clients and 4 advisers in one office, as of its May 2026 filing.
Andrew Whalen is CEO & Wealth Advisor of Whalen Financial. He founded the firm and has decades of experience across investments, retirement income, and estate strategy.
Andrew Whalen’s longest registration is the current one, 5 years at Whalen Wealth Management since 2021. Before joining Whalen Wealth Management in 2021, Andrew Whalen was registered through LPL Financial LLC and National Planning Corporation ("NPC of America" in FL & NY).
- LPL Financial LLC– · 3 yearsLas Vegas, NV · Adviser representative · Firm CRD 6413
- National Planning Corporation ("NPC of America" in FL & NY)– · 4 yearsHenderson, NV · Adviser representative · Firm CRD 29604
- J. W. Cole Advisors, Inc.– · under a yearTampa, FL · Adviser representative · Firm CRD 112294
- Financial Advisers of America, LLC– · 1 yearLas Vegas, NV · Adviser representative · Firm CRD 142170
Investment adviser representative registrations
Andrew Whalen is registered as an investment adviser representative in Nevada, since March 2021.
- NevadaSince 2 March 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 20 October 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 December 2009 |
| Series 7 | General Securities Representative Examination | 9 October 2009 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Andrew Joseph Whalen
- CRD
- 5179797
- Firm
- Whalen Wealth Management · CRD 311869
- Role
- Chief Compliance Officer & President
- Office
- 7160 RAFAEL RIVERA WAY, SUITE 220, Las Vegas, NV 89113
- Registration
- Investment adviser registration
- In the industry since
- October 2009
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- whalenfinancial.com
Where does Andrew Whalen work?
Andrew Whalen has been Chief Compliance Officer & President of Whalen Wealth Management Inc. since November 2020, and is a control person of the firm.
Is Andrew Whalen a financial advisor?
Yes. Andrew Whalen has a current investment-adviser registration in Nevada, through Whalen Wealth Management since March 2021.
How many years of experience does Andrew Whalen have?
Andrew Whalen has 17 years in the financial industry, since October 2009, across 5 adviser firms.
What exams has Andrew Whalen passed?
Andrew Whalen has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 99TO. The earliest, the Series 7, was passed in October 2009. FINRA credited Andrew Whalen with the SIE, which began in October 2018.
Where did Andrew Whalen work before Whalen Wealth Management?
Before Whalen Wealth Management, Andrew Whalen was registered through LPL Financial LLC, November 2017 to January 2021; National Planning Corporation ("NPC of America" in FL & NY), May 2013 to December 2017; J. W. Cole Advisors, Inc., May 2013 to May 2013; Financial Advisers of America, LLC, October 2011 to May 2013.
Where is Andrew Whalen based?
Andrew Whalen’s registered office is in Las Vegas, NV.
Is Andrew Whalen registered with FINRA?
No. Andrew Whalen has no current broker registration.
How can I verify Andrew Whalen’s record?
Search CRD 5179797 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Andrew Whalen’s full registration record.
