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Connor Phillip Whalen

Ubs Financial Services Inc.

Hermosa Beach, CA

El Segundo, CA

CRD 7965601

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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:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-02-24
  • CA RA
    APPROVED
    Since 2025-02-24

Branch Locations

Hermosa Beach, CA • United States

2121 Rosecrans Avenue Suite 1300, El Segundo, CA 90245 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Phoenix AZ 10/2024 Present
Tesla Los Angeles CA 03/2022 10/2024
F45 Training Los Angeles CA 03/2020 03/2022
Adidas Portland OR 07/2015 03/2020
  • 10/2024 → Present
    Ubs
    Phoenix, AZ
  • 03/2022 → 10/2024
    Tesla
    Los Angeles, CA
  • 03/2020 → 03/2022
    F45 Training
    Los Angeles, CA
  • 07/2015 → 03/2020
    Adidas
    Portland, OR
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-02-24
  • S66 Uniform Combined State Law Examination
    2025-02-24

View on SEC IAPD

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