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Detailed Report
SAMUEL JOSEPH WHALEN
SAMUEL WHALEN, Samuel Joseph Whalen, Samuel Jospeh Whalen
CRD#: 7116378
IA
Investment Adviser
B
Broker
STRATEGIC ADVISERS LLCCRD#: 104555 155 SEAPORT BLVD
BOSTON, MA 02210-2698
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 1680 WASHINGTON RD.,STE H
PITTSBURGH, PA 15241
Registration History
201920202021202220232024202520262 FIRMS2019 - 2021 (2 years)2 FIRMS2021 - 2024 (2 years)IASTRATEGIC ADVISERS LLC (CRD# 104555)2025 - Present (<1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2024 - Present (<1 year)BTD AMERITRADE, INC. (CRD# 7870)2022 - 2024 (1 year)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2025 - 2025 (<1 year)
License(s)

State Registrations

B
Florida 2/12/2025
B
Pennsylvania 2/11/2025
B
Maryland 2/12/2025
IA
Pennsylvania 3/31/2025
B
Ohio 2/12/2025
B
West Virginia 2/12/2025

SRO Registrations

B
 FINRA
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STRATEGIC ADVISERS LLC (CRD#:104555)
155 SEAPORT BLVD, BOSTON, MA 02210-2698
Registered with this firm since 3/31/2025
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
1680 WASHINGTON RD.,STE H, PITTSBURGH, PA 15241
PITTSBURGH, PA
Registered with this firm since 12/16/2024
Previous Registration(s)
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IA
 02/24/2025 - 03/31/2025 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) PITTSBURGH, PA
IA
 12/22/2021 - 10/21/2024 CHARLES SCHWAB & CO., INC. (CRD#:5393) Virginia Beach, VA
B
 12/22/2021 - 10/21/2024 CHARLES SCHWAB & CO., INC. (CRD#:5393) Virginia Beach, VA
B
 10/21/2022 - 07/29/2024 TD AMERITRADE, INC. (CRD#:7870) Virginia Beach, VA
IA
 09/04/2019 - 11/02/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) BETHESDA, MD
B
 08/01/2019 - 11/02/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) BETHESDA, MD
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.