Richard James Whalen

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2008 → Present
  Ubs Financial Services Inc
  Phoenix, AZ

Previous Registrations

• 2002-04-01 → 2008-04-10
  Citigroup Global Markets Inc.
  Phoenix, AZ
  Phoenix, AZ

Other Businesses

Scottsdale Boys & Girls Clubs Foundation / 10533 east lakeview dr. scottsdale,arizona 85258 / Foundation/ Other Charitable organization / help youth / Member of a committee representing the interests of any third party/parties with a relationship with the organization (i.e. Creditor's Committee) / / Oversight of foundation assets / Start Date 12/31/2015 /End Date 06/30/2017

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-02-06
• S63 Uniform Securities Agent State Law Examination
  1983-04-08

Other Names

• Rick Whalen