RICHARD JAMES WHALEN is an investment adviser representative (IAR) with state registration records since 2002, appearing at 2 firms. Currently registered with UBS FINANCIAL SERVICES INC..
| Firm | From | To | Current |
|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | 2008-10-28 | present | Yes |
| CITIGROUP GLOBAL MARKETS INC. | 2002-04-01 | 2008-04-10 | — |