linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Richard Christopher Whalen

J.v.b. Financial Group, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Richard? Claim Your Profile

About Richard Christopher Whalen

Richard Whalen has been in the financial industry since August 20, 2011. Richard is currently registered with J.v.b. Financial Group, LLC. Richard has previously been associated with Bradley Woods & Co. Ltd., Carrington Investment Services, LLC, TSD Trading, LLC, Fechtor, Detwiler & Co., Inc. and Prudential Securities Incorporated. Richard has a Series 7, 24, 63, 79, and SIE.

Firm Information

Richard Whalen is currently registered with J.v.b. Financial Group, LLC. J.v.b. Financial Group, LLC is a Limited Liability Company that was formed on December 5, 2008. The firm is registered in 53 states and with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

47

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Richard Whalen’s Registration & Firm History

NY

12/11/2018 - Present

J.v.b. Financial Group, LLC (NEW YORK NY)

NY

07/12/2017 - 12/04/2018

BRADLEY WOODS & CO. LTD. (NEW YORK NY)

NY

05/20/2016 - 03/10/2017

BRADLEY WOODS & CO. LTD. (NEW YORK NY)

CT

02/01/2013 - 03/25/2014

CARRINGTON INVESTMENT SERVICES, LLC (OLD GREENWICH CT)

NY

04/22/2003 - 08/01/2003

TSD TRADING, LLC (NEW YORK NY)

MA

08/14/2001 - 09/24/2002

FECHTOR, DETWILER & CO., INC. (BOSTON MA)

NY

12/03/1998 - 03/25/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

07/10/1997 - 10/09/1998

BEAR, STEARNS & CO. INC. (NEW YORK NY)

Not sure if Richard Christopher Whalen is right for you?

Licenses & Designations

BC

Issued 01/24/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/06/2013

Series 24 - General Securities Principal Examination

BC

Issued 02/05/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/10/2012

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 07/09/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Richard Christopher Whalen.
Not sure if Richard Christopher Whalen is right for you?