TIMOTHY TULLY WHALEN is currently employed as a Broker and/or Investment Adviser at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC located at 229 W Main St Ste 600, CLARKSBURG, WV, 26301.
TIMOTHY TULLY WHALEN has worked at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC since September 16, 1981
Disclosure History
TIMOTHY TULLY WHALEN has 1 Disclosure Event(s).
Date: October 25, 2010 Category: Regulatory Initiated By: STATE OF WEST VIRGINIA OFFICES OF THE INSURANCE COMMISSIONER Allegations: STATE OF WEST VIRGINA ISSUED A CONSENT ORDER FOR ALLEGATIONS OF CHEATING ON A TEST FOR BUSINESS CERTIFICATION. REP SIGNED AND AGREED TO CONSENT ORDER AND REP PAID $500 FINE TO STATE. Resolution: Consent SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $500.00 Broker Comment: I ACKNOWLEDGED USING NOTES WHILE TAKING A TEST FROM THE AMERICAN COLLEGE IN ORDER TO OBTAIN MY CHARTERED FINANCIAL CONSULTANT (CHFC) DESIGNATION. THE AMERICAN COLLEGE RESOLVED TO ALLOW ME TO RETAKE THE EXAM AND COMPLETE A ONE YEAR PROBATIONARY PERIOD PRIOR TO APPLYING FOR MY CHFC DESIGNATION. I DID RETAKE AND PASS THE EXAM IN QUESTION. NORTHWESTERN MUTUAL HAS NOTED THE EVENT IN MY FILE, BUT TAKEN NO ACTION. THE FINE OF $500.00 WAS PAID IN FULL ON OCTOBER 18, 2010. THIS ISSUE IS CONSIDERED RESOLVED WITH BOTH NORTHWESTERN MUTUAL AND THE AMERICAN COLLEGE.
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