# JAMES R WHALEN

JAMES R WHALEN is an investment adviser representative (IAR) with state registration records since 2012, appearing at 4 firms. Currently registered with CYPRESS FINANCIAL PLANNING, LLC.

## Registration history (4)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [CYPRESS FINANCIAL PLANNING, LLC](https://search.stillhousedata.com/firm/151014) | 2025-03-15 | present | Yes |
| [BLUE ROCK FINANCIAL GROUP](https://search.stillhousedata.com/firm/298558) | 2019-02-13 | 2025-04-14 | — |
| [NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC](https://search.stillhousedata.com/firm/2881) | 2016-04-14 | 2016-07-26 | — |
| [BNY MELLON ADVISORS, INC.](https://search.stillhousedata.com/firm/106108) | 2012-06-04 | 2012-10-15 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/5876202)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/5876202.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.