Robert Gary Whelan

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2011-08-30
CA	RA	APPROVED	1997-07-08

TX RA
APPROVED_RES

Since 2011-08-30
CA RA
APPROVED

Since 1997-07-08

Branch Locations

555 California St 34Th, 36Th & 46Th Floors, San Francisco, CA 94104 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	San Francisco	CA	06/1987	Present

06/1987 → Present

Ubs Financial Services Inc.

San Francisco, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1986-08-15

S63 Uniform Securities Agent State Law Examination

1986-08-15

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Exams

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