Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Evan Whalen is a financial advisor at Equity Services, Inc. Richard has been in the industry since 2004 and has a strong track record of success. Richard is registered with FINRA and is a member of the state of Vermont. Richard specializes in financial planning, portfolio management, and retirement planning. He is committed to providing his clients with personalized financial advice that meets their unique needs. Prior to joining Equity Services, Inc., Richard worked as a financial advisor at VOYA Financial Advisors, Inc. and ING Financial Advisors, LLC. Richard's experience and expertise make him a valuable resource for individuals and families seeking financial guidance.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
VT
03/07/2018 - Present
Equity Services, Inc. (MONTPELIER VT)
CT
07/01/2011 - 01/22/2018
VOYA FINANCIAL ADVISORS, INC. (WINDSOR CT)
PA
01/20/2009 - 05/14/2010
DIRECTED SERVICES LLC (WEST CHESTER PA)
CT
11/09/2004 - 01/27/2009
ING FINANCIAL ADVISERS, LLC (WINDSOR CT)
MN
09/03/2003 - 11/04/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/03/2003 - 11/04/2004
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 10/09/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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