Sterling O. Ullrich
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sterling Otto Ullrich, who also goes by Sterling Otto Ullrich Jr, Sterling Ullrich, Stu O Ullrich Jr, Stu Ullrich Jr, Sterling Otto Ulrich Jr, was a registered financial professional .
Sterling is a previously registered financial professional and started their career in finance in 1982. Sterling had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2009 - December 31, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 3, 2009 - November 9, 2009
OSAIC WEALTH, INC.
January 7, 2009 - February 13, 2009
ALLSTATE FINANCIAL SERVICES, LLC
May 1, 1995 - January 16, 2009
OSAIC WEALTH, INC.
March 9, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
March 9, 1988 - May 5, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 9, 1988 - May 5, 1995
OSAIC FA, INC.
November 13, 1985 - March 20, 1986
U. S. CAPITAL SECURITIES, INC.
January 28, 1985 - November 1, 1985
PSI SECURITIES CORPORATION
August 30, 1983 - January 18, 1985
GREEN HILL FINANCIAL SERVICE CORPORATION
October 8, 1982 - August 8, 1983
WADDELL & REED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
