Richard Walen

WALEN FINANCIAL GROUP

TOLEDO, OH 43623

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CRD#: 1084685

Professional summary

Richard Walen, who also goes by Dick Walen, is a registered financial advisor currently at WALEN FINANCIAL GROUP, LLC located in Toledo, Ohio.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Richard has worked at 4 firms and has passed the Series 63, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dick Walen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Walen's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 25, 2006 - Present

WALEN FINANCIAL GROUP, LLC

Office #1: 4149 North Holland-sylvania Road Suite 1, Toledo, OH 43623

RIA

CRD#: 140721

TOLEDO, OH

Past

February 17, 2006 - February 15, 2007

SICOR SECURITIES INC

RIA

CRD#: 16195

TOLEDO, OH

Past

February 16, 2006 - February 15, 2007

SICOR SECURITIES INC

CRD#: 16195

TOLEDO, OH

Past

January 14, 2004 - March 1, 2006

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

TOLEDO, OH

Past

January 27, 1983 - March 8, 2006

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Michigan
(1/29/2024)

IAR

Ohio
(10/25/2006)

IAR

Texas
(7/15/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/4/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 8/20/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 1/26/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WALEN FINANCIAL GROUP, LLC

WALEN FINANCIAL GROUP | WALEN, RICHARD | WALEN FINANCIAL GROUP, LLC

CRD#: 140721 / SEC#:

Florida

Registered Investment Advisory firm - (6/26/2024 Approved)

Michigan

Registered Investment Advisory firm - (1/29/2024 Approved)

Ohio

Registered Investment Advisory firm - (8/28/2006 Approved)

Texas

Registered Investment Advisory firm - (7/7/2021 Conditional Restricted)

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Contact information

Main Address

4149 North Holland-sylvania Road Suite 1, Toledo, OH 43623

Mailing Address

Phone number

(419) 885-2599

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Richard Walen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Walen's CRS (Customer Relationship Summary).

Certified licenses

Experience

WALEN FINANCIAL GROUP, LLC

SICOR SECURITIES INC

SICOR SECURITIES INC

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/4/1985

Series 22

Date: 8/20/1984

Series 6

Date: 1/26/1983

Current Firm

WALEN FINANCIAL GROUP, LLC

Contact information

Documents

Red Flags

Company Information

WALEN FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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