Last Updated: April 2026 — Winter Park, FL
Here’s what you need to know about Winter Park, FL stockbroker Brad Whalen:
- Name: Brad Steven Whalen
- Current Employer: Green Vista Capital, LLC (since August 2018)
- Prior Firms:
- Green Vista Asset Management LLC (2018–2020)
- The Strategic Financial Alliance / The Strategic Financial Alliance, Inc. (2015–2018)
- J.W. Korth & Company (2010–2013)
- TD Ameritrade, Inc. (multiple periods)
- E*TRADE Securities / Capital Management (2008–2009)
- SunTrust Investment Services (2007)
- Merrill Lynch (1995)
- CRD number: 2582276
- Stockbroker / Financial Advisor: Yes
- Can Broker be Sued in FINRA: Yes
- Highest Award or Settlement: $135,000
- Current Customer Dispute Seeks Total Damages of: $249,593
If you’ve sustained damages from Mr. Whalen, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Brad Whalen As Your Stockbroker? Invest in a Conservation Easement?
Brad Whalen is the subject of several customer disputes involving conservation easements.
In April 2024, a FINRA arbitration (Case No. 24-00731) was filed alleging violations of federal securities laws, breach of fiduciary duty, fraud, and negligence related to conservation easement investments. The claim was settled in August 2025 for $135,000.
In March 2025, FINRA arbitration (Case No. 25-00265) was filed by a customer of The Strategic Financial Alliance alleging violations of federal and New Jersey securities laws, breach of contract, fraud, and negligence tied to private placement and conservation easement investments, seeking $249,593 in damages.
Allegations of Broker Misconduct Against Brad Whalen
- Breach of Fiduciary Duty
- Common Law Fraud
- Negligence / Gross Negligence — failure to exercise reasonable care in evaluating or recommending investments.
- Breach of Contract
- Violation of New Jersey Uniform Securities Law
- Violation of Federal Securities Law
What is a Conservation Easement?
A conservation easement is a voluntary, legally binding agreement between a landowner and a government agency of land trust that places permanent restrictions on the subject land. These restrictions may prohibit commercial development or subdivision to protect natural, cultural or agricultural value. Landowners may receive tax benefits for granting the easement.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Brad Whalen, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.