Unclaimed Profile

Kerry Richard Whalen

WHALEN CAPITAL, INC.·WAUSAU, Wisconsin

SIE, Series 6, Series 7, Series 63, Series 6522 years registeredWHALEN CAPITAL, INC.

226411 RIB MOUNTAIN RD, WAUSAU, WI 54401CRD# 1570057Firm CRD# 130016

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Kerry Richard Whalen · WAUSAU, WI

Registration

CRD #1570057 · WHALEN CAPITAL, INC. · 22 years registered

Brand Profile

Not yet started

Career History

ON INVESTMENT MANAGEMENT CO

Aug 2013 – present

STEELE CAPITAL MANAGEMENT, INC.

Mar 2004 – Oct 2010

SCHOFIELD, WI

WHALEN CAPITAL, INC.

Mar 2004 – Jun 2026

WAUSAU, WI

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 63

Series 65

Registration record

First registered · March 2, 2004

Years registered · 22

Disclosure History

2002Customer Dispute·Denied

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

WHALEN CAPITAL, INC.

CRD 130016 · SEC 801-129615

AUM

$133M

Regulatory assets under management

Employees

390 client accounts

Services offered by WHALEN CAPITAL, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at WHALEN CAPITAL, INC. →

Introduction

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Frequently Asked Questions

What services does Kerry Richard Whalen offer?

Kerry Richard Whalen specializes in Financial Planning, Investment Management. Contact their office in WAUSAU, Wisconsin for a consultation.

What are Kerry Richard Whalen's credentials?

Kerry Richard Whalen is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Kerry Richard Whalen located?

Kerry Richard Whalen is based in WAUSAU, Wisconsin, working with WHALEN CAPITAL, INC.. Their office serves clients in the WAUSAU metropolitan area and surrounding communities.

How does Kerry Richard Whalen charge for services?

Kerry Richard Whalen's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is WHALEN CAPITAL, INC.?

WHALEN CAPITAL, INC. has approximately 4 employees and manages $133M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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