Brad Whalen: $235K Complaint Against Green Vista Advisor

Winter Park, Florida financial advisor Brad Whalen (CRD# 2582276) allegedly violated state and federal securities laws, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is currently registered as a broker with Green Vista Capital, having previously been registered with The Strategic Financial Alliance.

Mr. Whalen’s BrokerCheck report discloses two investor complaints. The most recent, filed in April 2024, alleges that as a representative of Green Vista Capital, he committed fraud, he violated state and federal securities law, breached contract, and acted negligently in connection with conservation easement investments. The pending complaint alleges damages of $235,000.

An earlier investor complaint, filed in 2008, alleged that as a representative of TD Ameritrade, he misrepresented the liquidity of auction rate securities. The complaint alleged damages of $300,000 and was denied by the firm.

Green Vista Capital’s website includes a page describing the firm’s mission statement. “We are committed to maintaining the highest standards of integrity and professionalism in our relationships with clients, broker dealers, product sponsors, and other industry professionals,” it states. “We work diligently to foster our mutually beneficial relationships and encourage open and honest communication between parties.”

According to the Financial Industry Regulatory Authority, Brad Whalen holds 23 years of securities industry experience. Based in Winter Park, Florida, he has ben a broker registered with Green Vista Capital since 2018. His registration history includes The Strategic Financial Alliance, JW Korth & Company, Amerivest Investment Management, TD Ameritrade, E*Trade Securities, SunTrust Investment Services, Brokers Transaction Services, and Merrill Lynch. His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He holds 24 state licenses. (Information current as of May 18, 2024.)

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