Richard Christopher WHALEN is currently employed as a Broker and/or Investment Adviser at BRADLEY WOODS & CO. LTD. located at 805 THIRD AVE, 18TH FL., NEW YORK, NY, 10022.
Richard Christopher WHALEN has worked at BRADLEY WOODS & CO. LTD. since July 12, 2017
Disclosure History
Richard Christopher WHALEN has 1 Disclosure Event(s).
Date: February 28, 2014 Category: Employment Separation After Allegations Firm Name: CARRINGTON INVESTMENT SERVICES, LLC Termination Type: Permitted to Resign Allegations: THE FIRM PERMITTED MR. WHELAN TO RESIGN AS A RESULT OF NOT FULFILLING CERTAIN OF HIS EMPLOYMENT REQUIREMENTS, AMONG WHICH WAS HIS FAILURE TO DISCLOSE A PERSONAL BANKRUPTCY IN AUGUST 2003 ON HIS FORM U-4. Broker Comment: The RR states that the sole reason for his separation from the firm was his inaccurate submission of information on Form U4.
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