The Whalen Team
View FINRA BrokerCheck informationContact us

Experience

Makes all the difference

Our Mission: Combine experience, knowledge and energy with the global resources of UBS to satisfy each client's specific goals.

Our Practice: Limits the number of clients we serve placing emphasis on providing the high level of service critical to successful investment strategy.

Our Focus: Deliver comprehensive financial planning based solely on what is best for each client.

Our Results: Enduring relationships driven by tailoring solutions to pursue client goals with a high level of client satisfaction.

Richard "Rick" Whalen, CIMA, CIMC

Senior Vice President–Wealth Management

Financial Advisor

Registered States:
  • AZ
  • CA
  • CO
  • FL
  • IN
  • MI
  • NC
  • OH
  • TN
  • TX
  • WA
  • WI

Richard "Rick" Whalen, CIMA, CIMC

Recognized as an industry leader:

  • Barron's Top 1,200 Financial Advisors, 2016, 2017, 2018, 2019
    The Barron's rating is awarded annually in March and is based on information from the prior year Q3. 

Eligibility is based on quantitative factors and is not necessarily related to the quality of the investment advice. For more information on third party rating methodologies, please visit ubs.com/us/en/designation-disclosures

Richard "Rick" Whalen, CIMA, CIMC

Credentials

  • Certified Investment Management Analyst®
  • Certified Investment Management Consultant

Richard "Rick" Whalen, CIMA, CIMC

2575 East Camelback Road
Suite 900
Phoenix, AZ 85016

Email Me

Richard "Rick" Whalen, CIMA, CIMC

Senior Vice President–Wealth Management

Financial Advisor

Registered States:
  • AZ
  • CA
  • CO
  • FL
  • IN
  • MI
  • NC
  • OH
  • TN
  • TX
  • WA
  • WI

Recognized as an industry leader:

  • Barron's Top 1,200 Financial Advisors, 2016, 2017, 2018, 2019
    The Barron's rating is awarded annually in March and is based on information from the prior year Q3. 

Eligibility is based on quantitative factors and is not necessarily related to the quality of the investment advice. For more information on third party rating methodologies, please visit ubs.com/us/en/designation-disclosures

Credentials

  • Certified Investment Management Analyst®
  • Certified Investment Management Consultant
2575 East Camelback Road
Suite 900
Phoenix, AZ 85016

Email Me

Diane Lees

Senior Client Associate

Registered States:
  • AZ
  • CA
  • MI
  • TX

Diane Lees

2575 East Camelback Road
Suite 900
Phoenix, AZ 85016

Email Me

Diane Lees

Senior Client Associate

Registered States:
  • AZ
  • CA
  • MI
  • TX
2575 East Camelback Road
Suite 900
Phoenix, AZ 85016

Email Me

Products and services mentioned on these web pages may not be available for residents of certain nations.  Please consult the sales restrictions relating to the service in question for further information. http://www.ubs.com  

As a firm providing wealth management services to clients, UBS Financial Services Inc. offers investment advisory services in its capacity as an SEC-registered investment adviser and brokerage services in its capacity as an SEC-registered broker-dealer. Investment advisory services and brokerage services are separate and distinct, differ in material ways and are governed by different laws and separate arrangements. It is important that clients understand the ways in which we conduct business, that they carefully read the agreements and disclosures that we provide to them about the products or services we offer. A small number of our financial advisors are not permitted to offer advisory services to you, and can only work with you directly as UBS broker-dealer representatives. Your financial advisor will let you know if this is the case and, if you desire advisory services, will be happy to refer you to another financial advisor who can help you. Our agreements and disclosures will inform you about whether we and our financial advisors are acting in our capacity as an investment adviser or broker-dealer. For more information, please review the PDF document at ubs.com/relationshipsummary.

Neither UBS Financial Services Inc. nor its employees (including its Financial Advisors) provide tax or legal advice. You should consult with your legal counsel and/or your accountant or tax professional regarding the legal or tax implications of a particular suggestion, strategy or investment, including any estate planning strategies, before you invest or implement.

Wealth management services in the United States are provided by UBS Financial Services Inc., a registered broker-dealer offering securities, trading, brokerage and related products and services. Member SIPC . Member FINRA . UBS Financial Services Inc. is also registered as a Futures Commission Merchant (FCM) with the U.S. Commodity Futures Trading Commission (CFTC) and offers brokerage services related to the execution and clearing of on-exchange futures and options on futures products. Member NFA 

Unless we separately agree in writing, we do not monitor your brokerage account, and you make the ultimate decision regarding the purchase or sale of investments. You can ask us to review your brokerage account and provide you with investment recommendations at any time.

Wealth Management and Private Wealth Management and UBS International are divisions of UBS Financial Services Inc., a subsidiary of UBS AG.  Private Wealth Management resources and services are provided by specially-accredited Financial Advisors within UBS Financial Services Inc. (including Private Wealth Advisors and International Private Wealth Advisors).

For more information on third party rating methodologies, please visit ubs.com/us/en/designation-disclosures.html.

Notice for Non-U.S. Investors . Notice for Non-Puerto Rico Investor . Order Routing Disclosure . Statement of Financial Condition. Statement of Financial Condition- UBS FSI of Puerto Rico. Best Execution Statement. Loan Disclosure Statement. Account Sweep Yields. Advisory & Brokerage Services. CFP Board's Trademark Disclaimer. Important Information About Auction Rate Securities (Not for Puerto Rico). Futures Commission Merchant (FCM) Information for UBS Financial Services Inc . Agreements and Disclosure 

© UBS 1998-2024. All rights reserved.