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James Whelen

Director at Davenport & Company

Investment adviser and broker registrationsRichmond, VASEC record checked 17 October 2026

34
Years in the industry
12
Years at the firm
1
Adviser firms
2
State registrations

IAPD record retrieved 17 October 2026SEC record

James Whelen is Director of Davenport & Company LLC, a Richmond investment adviser managing $24.7B. James Whelen has been registered through Davenport & Company since 21 July 2014, has 34 years in the industry across 1 firm and has passed 7 licensing exams.

Role at Davenport & Company

Title on Schedule A
Director
Control
James Whelen is not a control person of Davenport & Company.
Ownership
An individual ownership band is not available in the source record.
Tenure
James Whelen has held the filed role since March 2026.

The firm

Davenport & Company LLC
Richmond, VA

Form ADV filed 27 July 2026

$24.7B AUM17,724 clients228 advisers22 offices

Career on record

James Whelen has been registered through Davenport & Company since July 2014.

Firms and exams, newest first
  1. Passed Series 57TO · 2023
  2. Passed SIE · 2018
  3. Davenport & Company LLCCurrent
    – present · 12 years
    Richmond, VA · Adviser representative · Firm CRD 1588
  4. Passed Series 66 · 2014
  5. Passed Series 55 and Series 24 · 2000
  6. Passed Series 63 · 1999
  7. Passed Series 7 · 1992

Registrations and exams

James Whelen has a current investment-adviser registration in Texas and Virginia and has passed 7 qualifying exams.

Texas21 November 2022
Scope
Investment adviser representative
Status
Approved, resident
Virginia21 July 2014
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6621 July 2014
Name
Uniform Combined State Law Examination
Series 631 June 1999
Name
Uniform Securities Agent State Law Examination
Series 246 July 2000
Name
General Securities Principal Examination
Series 57TO2 January 2023
Name
Securities Trader Exam
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 5511 April 2000
Name
Limited Representative-Equity Trader Exam
Series 74 September 1992
Name
General Securities Representative Examination

Individual record

Full name
James William Whelen
CRD
2111056
Firm
Davenport & Company LLC
Registration status
Investment adviser and broker registrations
Office
ONE JAMES CENTER, 901 EAST CARY STREET, SUITE 1100, Richmond, VA 23219

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does James Whelen work?

James Whelen has been Director of Davenport & Company LLC since March 2026.

Source: Form ADV, Schedule A, filed 27 July 2026

Is James Whelen a financial advisor?

Yes. James Whelen has a current investment-adviser registration in Texas and Virginia, through Davenport & Company since July 2014, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does James Whelen have?

James Whelen has worked in the financial industry for 34 years as of 17 October 2026, counted from 11 October 1992, across 1 adviser firm.

Source: IAPD individual record, checked 17 October 2026

What exams has James Whelen passed?

James Whelen has passed 7 licensing exams: the Series 7, Series 63, Series 55, Series 24, Series 66, SIE and Series 57TO. The earliest, the Series 7, was passed in September 1992.

Source: IAPD individual record, checked 17 October 2026

Where is James Whelen based?

James Whelen’s registered office is in Richmond, VA.

Source: IAPD individual record, checked 17 October 2026

Leadership at Davenport & Company

Sources

  1. IAPD individual record, CRD 2111056. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Davenport & Company LLC, filed 27 July 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with James Whelen or Davenport & Company LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.