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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

SEAN DAVID WHALEN

Advisor at STRATEGIC WEALTH MANAGEMENT LLC

SOUTH NATICK, MA

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Search this name across graphsid dfx:ria:d21106b5-0dc6-3d70-75a0-7beaf6df1da7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jun 23, 2011 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: STRATEGIC WEALTH MANAGEMENT LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 15, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 4
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Sep 15, 1999
First registration: Jun 23, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 4000934

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
STRATEGIC WEALTH MANAGEMENT LLC	State registered	Sep 9, 2025	n/a	yes	SOUTH NATICK, MA	Current employment
CONCORDE ASSET MANAGEMENT, LLC	Bd affiliated wealth	Aug 19, 2025	Sep 26, 2025	no	S. Natick, MA\|ANN ARBOR, MI	Previous registration
ASSET STRATEGY ADVISORS, LLC	Mixed wealth	Feb 12, 2018	Jul 25, 2025	no	WAYLAND, MA	Previous registration
RADIUS CAPITAL MANAGEMENT, LLC	n/a	Aug 5, 2017	Feb 14, 2018	no	Boston, MA\|CONCORD, MA	Previous registration
SANTANDER SECURITIES	Bd affiliated wealth	Sep 26, 2012	Jun 28, 2017	no	BOSTON, MA\|Boston, MA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 23, 2011	Sep 19, 2012	no	BOSTON, MA	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
CONCORDE ASSET MANAGEMENT, LLC	STRATEGIC WEALTH MANAGEMENT LLC	Sep 26, 2025	Sep 9, 2025	-17	Firm change	Ibd to state RIA
ASSET STRATEGY ADVISORS, LLC	CONCORDE ASSET MANAGEMENT, LLC	Jul 25, 2025	Aug 19, 2025	25	Firm change	RIA to ibd
RADIUS CAPITAL MANAGEMENT, LLC	ASSET STRATEGY ADVISORS, LLC	Feb 14, 2018	Feb 12, 2018	-2	Firm change	Other
SANTANDER SECURITIES	RADIUS CAPITAL MANAGEMENT, LLC	Jun 28, 2017	Aug 5, 2017	38	Firm change	Other
LPL FINANCIAL LLC	SANTANDER SECURITIES	Sep 19, 2012	Sep 26, 2012	7	Bulk transfer	Other

Relationships

Registered with (6)

→ STRATEGIC WEALTH MANAGEMENT LLCRegistered adviserregistration: current employment
Sep 9, 2025 to presentfactForm ADV
→ CONCORDE ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 19, 2025 to Sep 26, 2025factForm ADV
→ ASSET STRATEGY ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 12, 2018 to Jul 25, 2025factForm ADV
→ RADIUS CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 5, 2017 to Feb 14, 2018factForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Sep 26, 2012 to Jun 28, 2017factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jun 23, 2011 to Sep 19, 2012factForm ADV

Dated events

Occurred
Sep 26, 2025
Advisor changed firm
Sean David Whalen left Concorde Asset Management, Llc for Strategic Wealth Management Llc (registered 2025-09-09)
Form ADVobserved 5 days ago
Occurred
Jul 25, 2025
Advisor changed firm
Sean David Whalen left Asset Strategy Advisors, Llc for Concorde Asset Management, Llc (registered 2025-08-19)
Form ADVobserved 5 days ago