Richard E. Whalen
Professional summary
Richard Edward Whalen is a registered financial advisor currently at E. E. POWELL & COMPANY INC. located in Seven Fields, Pennsylvania.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Richard has worked at 1 firm and has passed the Series 66, Series 52TO, Series 7TO, SIE, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Edward Whalen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Edward Whalen's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 13, 2022 - Present
E. E. POWELL & COMPANY INC.
Office #1: 200 Northpointe Circle Suite 304, Seven Fields, PA 16046May 2, 1975 - Present
E. E. POWELL & COMPANY INC.
Office #1: 200 Northpointe Circle Suite 304, Seven Fields, PA 16046State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/18/1997)
(1/23/2022)
(1/5/2016)
(4/30/2001)
(5/29/2003)
(1/23/2022)
(4/28/1998)
(11/8/1981)
(9/13/2022)
(1/11/2024)
(5/9/2018)
(12/22/2014)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 00
Date: 4/21/1975
General Securities Principal ExaminationFINRA
Current Firm
E. E. POWELL & COMPANY INC.
CRD#: 3063 / SEC#: , 8-8193
Contact information
FINRA licenses (21 States and Territories)
Red Flags
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