DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Seamus Joseph Whalen

LPL Financial LLCBD affiliatedWoodbridge, Njdual registrantIAPD 5205295

Feed of 09/14/2026

Also filed as Seamus Joseph Whalen

At current firm

2 y

since Apr 22, 2024

In the industry

19 y

since Apr 18, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Apr 22, 2024 · Woodbridge, Nj
Osaic Fa, Inc. former
Dec 7, 2023 to Apr 19, 2024 · Red Bank, Nj
J.P. Morgan Securities LLC wirehouse
Apr 15, 2015 to Dec 13, 2023 · Edison, Nj
Santander Securities BD affiliated
Apr 30, 2013 to Apr 13, 2015 · Englishtown, Nj
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Dec 17, 2007 to Apr 15, 2013 · East Brunswick, Nj

Moves

a registration end followed by a registration begin elsewhere

Osaic Fa, Inc. to LPL Financial LLC
left Apr 19, 2024, registered Apr 22, 2024 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
J.P. Morgan Securities LLC to Osaic Fa, Inc.
left Dec 13, 2023, registered Dec 7, 2023 (-6 days) · Wirehouse to affiliated broker-dealer or bank
Santander Securities to J.P. Morgan Securities LLC
left Apr 13, 2015, registered Apr 15, 2015 (2 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Santander Securities
left Apr 15, 2013, registered Apr 30, 2013 (15 days) · Other

Signals

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

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address