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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Seamus Joseph Whalen

Advisor at LPL FINANCIAL LLC

WOODBRIDGE, NJ

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Search this name across graphsid dfx:ria:02772c13-b1e2-2288-58e7-e2b182eec660

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Dec 17, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 18, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Apr 18, 2007
First registration: Dec 17, 2007
Dual registered: yes, broker-dealer
Other names: SEAMUS JOSEPH WHALEN|SEAMUS JOSEPH WHALEN|SEAMUS JOSEPH WHALEN|SEAMUS JOSEPH WHALEN|SEAMUS JOSEPH WHALEN|Seamus Whalen
IAPD individual key: 5205295

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 22, 2024	n/a	yes	WOODBRIDGE, NJ	Current employment
OSAIC FA, INC.	Former SEC adviser	Dec 7, 2023	Apr 19, 2024	no	RED BANK, NJ	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Apr 15, 2015	Dec 13, 2023	no	EDISON, NJ\|EDISON, NJ\|METUCHEN, NJ\|Berkeley Heights, NJ\|SOMERSET, NJ	Previous registration
SANTANDER SECURITIES	Bd affiliated wealth	Apr 30, 2013	Apr 13, 2015	no	ENGLISHTOWN, NJ\|SHORT HILLS, NJ\|South Amboy, NJ\|TOMS RIVER, NJ\|Old Bridge, NJ\|Piscataway, NJ\|East Brunswick, NJ\|MARLBORO, NJ\|Long Branch, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 17, 2007	Apr 15, 2013	no	EAST BRUNSWICK, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC FA, INC.	LPL FINANCIAL LLC	Apr 19, 2024	Apr 22, 2024	3	Firm change	Ibd to ibd
J.P. MORGAN SECURITIES LLC	OSAIC FA, INC.	Dec 13, 2023	Dec 7, 2023	-6	Firm change	Wirehouse to ibd
SANTANDER SECURITIES	J.P. MORGAN SECURITIES LLC	Apr 13, 2015	Apr 15, 2015	2	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	SANTANDER SECURITIES	Apr 15, 2013	Apr 30, 2013	15	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
3978:6413:NJ:2024-04-19	Apr 19, 2024	Apr 22, 2024	RED BANK, NJ	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 22, 2024 to presentfactForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Dec 7, 2023 to Apr 19, 2024factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Apr 15, 2015 to Dec 13, 2023factForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Apr 30, 2013 to Apr 13, 2015factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 17, 2007 to Apr 15, 2013factForm ADV

Dated events

Occurred
Apr 19, 2024
Advisor changed firm
Seamus Joseph Whalen left Osaic Fa, Inc. for Lpl Financial Llc (registered 2024-04-22)
Form ADVobserved 4 days ago
Occurred
Dec 13, 2023
Advisor changed firm
Seamus Joseph Whalen left J.P. Morgan Securities Llc for Osaic Fa, Inc. (registered 2023-12-07)
Form ADVobserved 4 days ago