James P Whalen
Investment adviser representative at Wells Fargo Advisors
13 yearsExperience
1 stateRegistered in
$671.4BFirm assets
36 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
13 years in the industry.
- Wells Fargo Clearing Services, LLCOct 2025 to now
- Northwestern Mutual Investment Services LLCMar 2025 to Oct 2025
- Northwestern Mutual Life Insurance CompanyMar 2025 to Oct 2025
- Leeco SteelMay 2024 to Jan 2025
- Bmw of DallasMay 2023 to Apr 2024
- Autobahn BmwSep 2012 to Apr 2023
Exams passed
- Series 66 · Uniform Combined State Law2025
State registrations
Registered as an investment adviser representative in 1 state (TX).
Wells Fargo Advisors
Legal name: Wells Fargo Clearing Services, LLC
$671.4BAssets managed
1,324,168Clients
14,661Advisers
36 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5416015
- Firm CRD
- 19616