Richard Whalen
Richard Whalen is a registered investment advisor at UBS Financial Services INC., based in San Diego, CA, with 43 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
Location
San Diego, CA
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Regulatory History (1)
Customer Dispute
January 2021Other Business Activities
Richard was a member of a committee overseeing foundation assets for the Scottsdale Boys & Girls Clubs Foundation from 2015 to 2017, helping youth.
Employment History
Current Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Previous Registrations
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Kidder, Peabody & CO. IncorporatedBroker
Westamerica Investment GroupBroker
Rl Kotrozo, INC.Broker
Plenge Thomas & Nofer IncorporatedBroker
State Registrations16 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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