Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard James Whalen is an investment advisor representative at UBS Financial Services INC. Richard has been in the industry since 1983. He holds a Series 7, Series 31, and Series 63 license. Richard is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). He is also registered to provide investment advice in Arizona, California, Colorado, Florida, Indiana, Michigan, Montana, North Carolina, Ohio, Tennessee, Texas, Utah, Washington, and Wisconsin. Richard previously worked at CITIGROUP GLOBAL MARKETS INC., KIDDER, PEABODY & CO. INCORPORATED, WESTAMERICA INVESTMENT GROUP, RL KOTROZO, INC., and PLENGE THOMAS & NOFER INCORPORATED. Richard is a member of the Scottsdale Boys & Girls Clubs Foundation.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
See schedule d - miscellaneous
1
2
AZ
11/17/2014 - Present
UBS Financial Services Inc. (PHOENIX AZ)
AZ
07/25/1994 - 04/10/2008
CITIGROUP GLOBAL MARKETS INC. (PHOENIX AZ)
NY
03/20/1991 - 07/12/1994
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
AZ
02/27/1990 - 02/14/1991
WESTAMERICA INVESTMENT GROUP (SCOTTSDALE AZ)
NA
01/19/1984 - 03/06/1990
RL KOTROZO, INC.
NA
03/22/1983 - 01/17/1984
PLENGE THOMAS & NOFER INCORPORATED
IA
Issued 2/6/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/8/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/24/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 3/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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