James Whalen has been an investment adviser representative at Cypress Financial Planning since March 2025, and is not listed among the firm’s executive officers or direct owners. James Whalen studied at Temple University.
Cypress Financial Planning, LLC is a Haddon Heights, NJ firm with $490M under management, 432 clients and 6 advisers across 4 offices, as of its July 2026 filing.
James Whalen is Financial Planner of Cypress Financial Planning. He joined from Blue Rock Financial Group, where he was Lead Advisor overseeing financial planning functions and supporting advisors in client relationship management. Earlier he was Director of Investment and Financial Planning at Northwestern Mutual, and a Financial Advisory Software Specialist at Hanlon Financial Group. He also worked at Goldman Sachs, supporting Private Wealth Advisors.
James Whalen’s longest registration was 6 years at Blue Rock Financial Group (2019–2025). Before joining Cypress Financial Planning in 2025, James Whalen was registered through Blue Rock Financial Group and Northwestern Mutual Investment Services,llc.
- Cypress Financial PlanningCurrent– present · 1 yearGarnet Valley, PA · Adviser representative · Firm CRD 151014
- Blue Rock Financial Group– · 6 yearsRehoboth Beach, DE · Adviser representative · Firm CRD 298558
- Northwestern Mutual Investment Services,llc– · under a yearPhiladelphia, PA · Adviser representative · Firm CRD 2881
- Lockwood Advisors Inc– · under a yearKing of Prussia, PA · Adviser representative · Firm CRD 106108
Professional designations
Listed by Cypress Financial Planning
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Certified Investment Management Analyst (CIMA®)
Investment adviser representative registrations
James Whalen is registered as an investment adviser representative in 3 states, as a resident of Texas. Each was approved in March 2025.
- New JerseySince 18 March 2025
- PennsylvaniaSince 17 March 2025
- TexasResidentSince 15 March 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 2 June 2012 |
| Series 7 | General Securities Representative Examination | 3 June 2011 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James R Whalen
- CRD
- 5876202
- Firm
- Cypress Financial Planning · CRD 151014
- Office
- Garnet Valley, PA
- Registration
- Investment adviser registration
- In the industry since
- June 2018
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- cypressplanning.com
Where does James Whalen work?
James Whalen is an investment adviser representative registered through Cypress Financial Planning, LLC since March 2025, and is not listed among the firm’s executive officers or direct owners.
Is James Whalen a financial advisor?
Yes. James Whalen has a current investment-adviser registration in New Jersey, Pennsylvania and Texas, through Cypress Financial Planning since March 2025.
How many years of experience does James Whalen have?
James Whalen has 8 years in the financial industry, since June 2018, across 4 adviser firms.
What exams has James Whalen passed?
James Whalen has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in June 2011. FINRA credited James Whalen with the SIE, which began in October 2018.
Where did James Whalen work before Cypress Financial Planning?
Before Cypress Financial Planning, James Whalen was registered through Northwestern Mutual Investment Services,llc, April 2016 to July 2016; Lockwood Advisors Inc, June 2012 to October 2012.
Where is James Whalen based?
James Whalen’s registered office is in Garnet Valley, PA.
Is James Whalen registered with FINRA?
No. James Whalen has no current broker registration.
Is James Whalen a CFP?
Cypress Financial Planning lists James Whalen with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify James Whalen’s record?
Search CRD 5876202 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Whalen’s full registration record.
