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ROBERT GARY WHELAN
CRD#: 1498880
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 555 CALIFORNIA ST
34TH, 36TH & 46TH FLOORS
SAN FRANCISCO, CA 94104
Registration History
19901995200020052010201520202025IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1997 - Present (27 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1987 - Present (37 years)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)1986 - 1986 (<1 year)
Disclosure(s)
View By:
10/16/1998
Customer Dispute
Settled
License(s)

State Registrations

B
California 6/17/1987

B
New Mexico 1/5/2009

IA
California 7/8/1997

B
New York 6/24/1987

B
Delaware 6/27/2017

B
Ohio 11/1/2024

B
Florida 8/29/1995

B
Oregon 6/4/1997

B
Hawaii 2/13/2023

B
South Carolina 9/19/2023

B
Idaho 6/9/2022

B
South Dakota 6/24/2016

B
Massachusetts 6/3/2016

B
Texas 4/4/2011

B
Minnesota 5/30/1991

IA
Texas 8/30/2011

B
Nevada 2/1/2006

B
Washington 10/30/1991

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
555 CALIFORNIA ST 34TH, 36TH & 46TH FLOORS, SAN FRANCISCO, CA 94104
Registered with this firm since 7/8/1997

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
555 CALIFORNIA ST 34TH, 36TH & 46TH FLOORS, SAN FRANCISCO, CA 94104
Registered with this firm since 6/17/1987

Previous Registration(s)
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B
05/21/1986 - 12/17/1986 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.