Individual Firm
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KERRY RICHARD WHALEN
CRD#: 1570057
IA
B
ON INVESTMENT MANAGEMENT COCRD#: 105662 226411 Rib Mountain Drive
Wausau, WI 54401
Wausau, WI 54401
THE O.N. EQUITY SALES COMPANYCRD#: 2936 226411 Rib Mountain Dr
Wausau, WI 54401
Wausau, WI 54401
View By:
10/15/2002
Customer Dispute
Denied
State Registrations
B
Arizona 8/31/2017
B
Michigan 2/14/2023
B
Arkansas 2/27/2025
B
Minnesota 11/14/2012
B
California 12/7/2021
B
New Jersey 10/7/2016
B
Colorado 4/3/2024
B
South Dakota 4/23/2024
B
Florida 12/15/2003
B
Tennessee 4/24/2024
B
Georgia 7/29/2016
B
Texas 8/26/2022
B
Illinois 8/8/2011
B
Utah 9/28/2012
B
Indiana 3/15/2019
B
Washington 8/6/2021
B
Iowa 1/28/2015
B
Wisconsin 12/15/2003
B
Kentucky 4/19/2023
IA
Wisconsin 3/2/2004
B
Massachusetts 6/21/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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IA
Registered with this firm since 8/27/2013
IA
Registered with this firm since 3/2/2004
B
Registered with this firm since 12/15/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/03/2004 - 10/25/2010 | SCHOFIELD, WI | |
B | 10/30/1986 - 12/19/2003 | MILWAUKEE, WI | |
B | 11/10/1994 - 01/01/2002 | MILWAUKEE, WI | |
B | 02/02/1989 - 10/01/1993 | MILWAUKEE, WI |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.