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JAMES WILLIAM WHELEN III
JIM WHELEN III
CRD#: 2111056
IA
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DAVENPORT & COMPANY LLCCRD#: 1588 ONE JAMES CENTER
901 EAST CARY STREET, SUITE 1100
RICHMOND, VA 23219
901 EAST CARY STREET, SUITE 1100
RICHMOND, VA 23219
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Disclosures
32
Years of Experience
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State Registrations
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Alabama 7/8/2015
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Mississippi 1/5/2016
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Alaska 2/8/2016
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Missouri 11/27/2013
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Arizona 11/27/2013
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Nevada 11/27/2013
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Arkansas 8/28/2020
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New Jersey 8/17/2012
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California 2/24/2012
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New Mexico 1/5/2016
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Colorado 4/27/2012
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New York 4/3/2006
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Connecticut 4/20/2006
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North Carolina 11/27/2013
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Delaware 6/24/2016
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Ohio 11/27/2013
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District of Columbia 7/8/2015
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Oklahoma 11/27/2013
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Florida 11/27/2013
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Oregon 11/27/2013
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Georgia 3/27/2015
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Pennsylvania 4/3/2006
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Hawaii 7/8/2015
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South Carolina 7/8/2015
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Illinois 11/27/2013
B
Tennessee 6/1/2012
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Indiana 6/28/2019
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Texas 11/27/2013
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Iowa 1/5/2016
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Texas 11/21/2022
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Kansas 1/5/2016
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Utah 11/27/2013
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Kentucky 1/5/2016
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Vermont 1/16/2018
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Louisiana 1/5/2016
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Virginia 4/3/2006
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Maine 1/5/2016
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Virginia 7/21/2014
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Maryland 4/3/2006
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Washington 11/27/2013
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Massachusetts 6/9/2006
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West Virginia 1/5/2016
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Michigan 1/5/2016
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Wisconsin 9/14/2012
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Minnesota 4/27/2012
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Wyoming 8/24/2022
SRO Registrations
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Registered with this firm since 7/21/2014
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Registered with this firm since 4/3/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/01/2003 - 04/06/2006 | CHARLOTTE, NC | |
B | 10/01/1999 - 07/01/2003 | ST. LOUIS, MO | |
B | 03/03/1999 - 10/01/1999 | CHARLOTTE, NC | |
B | 09/01/1997 - 02/12/1999 | BALTIMORE, MD | |
B | 09/24/1992 - 09/01/1997 |
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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.
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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.