GW
Glenn R. Whalen
CHOICE WEALTH ADVISORS LLC
Waterville, ME 04901
Some features on this profile are disabled
CRD#: 6408056
GW
Professional summary
Glenn Richard Whalen, AIF®, who also goes by Rick Whalen, is a registered financial advisor currently at CHOICE WEALTH ADVISORS LLC located in Waterville, Maine and CETERA INVESTMENT ADVISERS LLC located in Waterville, Maine.
Glenn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Glenn has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rick Whalen
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.
1. NAME OF OTHER BUSINESS: CHOICE WEALTH ADVISORS, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 08/2018 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 08/2018; APX NUMBER OF HOURS PER WEEK: 2 HOURS; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG TERM CARE. 3. NAME OF OTHER BUSINESS: CHOICE INVESTMENTS INVESTMENT RELATED: YES, ADDRESS: 325-D KENNEDY MEMORIAL DRIVE WATEVILLE ME 04901, NATURE OF BUSINESS: FINANCIAL ADVICE, START DATE: 2014, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR, BRIEF DESCRIPTION OF DUTIES: ASSET MANAGEMENT EDUCATIONAL PLANNING, RETIREMENT PLANNING; 4. CHOICE WEALTH ADVISORS, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 08/2018, REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40, 32.5 DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Glenn Richard Whalen'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®
Experience
Current
August 22, 2018 - Present
CHOICE WEALTH ADVISORS LLC
Office #1: 325-d Kennedy Memorial Drive, Waterville, ME 04901RIA
CRD#: 297745
Waterville, ME
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 325-d Kennedy Memorial Drive, Waterville, ME 04901RIA
CRD#: 105644
WATERVILLE, ME
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 325-d Kennedy Memorial Drive, Waterville, ME 04901BD
CRD#: 10299
Waterville, ME
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
February 23, 2015 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
WATERVILLE, ME
Past
November 26, 2014 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
WATERVILLE, ME
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(10/5/2016)
RR
Georgia(1/2/2025)
RR
Maine(10/3/2016)
IAR
Maine(8/22/2018)
RR
Massachusetts(10/3/2016)
RR
New Hampshire(7/19/2022)
RR
New York(12/15/2022)
RR
North Carolina(1/3/2025)
RR
Texas(1/2/2025)
IAR
Texas(3/28/2025)
RR
Virginia(1/4/2023)
RR
Washington(1/12/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
