Robert W. Uly

KBD SECURITIES

New Yoyk, NY 10016

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CRD#: 1074398

Professional summary

Robert William Uly is a registered financial professional currently at KBD SECURITIES, LLC located in New Yoyk, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1984. Robert has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Robert William Uly's CRS (Customer Relationship Summary).

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

February 17, 2004 - Present

KBD SECURITIES, LLC

Office #1: 470 Park Avenue South, New Yoyk, NY 10016Office #2: 470 Park Avenue South 8th Floor South, New York, NY 10016

CRD#: 104110

New Yoyk, NY

Past

May 21, 1991 - August 1, 2001

DOMINARI SECURITIES LLC

CRD#: 18975

NEW YORK, NY

Past

June 22, 1990 - May 6, 1991

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 11, 1989 - May 30, 1990

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 14, 1988 - August 3, 1989

DOMINARI SECURITIES LLC

CRD#: 18975

NEW YORK, NY

Past

July 10, 1987 - March 19, 1988

FIRST METROPOLITAN SECURITIES, INC.

CRD#: 7594

Past

November 8, 1984 - July 18, 1987

NATIONAL SECURITIES & RESEARCH CORPORATION

CRD#: 614

State Registrations and Notice Filings

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

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

New York
(3/27/2004)

Exams

State Security Law Exam

IAR

Series 65

Date: 11/15/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/27/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 39

Date: 1/26/1983

Direct Participation Programs Principal Examination

SRO Registrations

FINRA

Current Firm

KBD SECURITIES, LLC

CRD#: 104110 / SEC#: , 8-52591

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

470 Park Avenue South 8th Floor South, New York, NY 10016

Mailing Address

470 Park Avenue South 8th Floor South, New York, NY 10016

Phone number

(914) 703-6904

Established

New York since 03/23/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HORIZON KINETICS, LLC	PARENT COMPANY
BELL, CHRISTOPHER DUNCAN	CEO, CFO, DESIGNATED PRINCIPAL, FINOP	1479836
DOYLE, JAMES GANNON	CHIEF COMPLIANCE OFFICER & DESIGNATED PRINCIPAL	4189586
KESSLEN, JAY HARRIS	GENERAL COUNSEL, SVP, AML OFFICER	4335392
WILLIAMS, ALUN L	OPERATIONS PROFESSIONAL	4331633

Red Flags

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Robert W. Uly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert William Uly's CRS (Customer Relationship Summary).

Certified licenses

Experience

DOMINARI SECURITIES LLC

PRUDENTIAL EQUITY GROUP, LLC

CITIGROUP GLOBAL MARKETS INC.

DOMINARI SECURITIES LLC

FIRST METROPOLITAN SECURITIES, INC.

NATIONAL SECURITIES & RESEARCH CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 11/15/2012

Series 63

Date: 2/27/2004

SIE

Date: 10/1/2018

Series 7

Date: 8/21/1982

Series 39

Date: 1/26/1983

FINRA

Current Firm

KBD SECURITIES, LLC

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

KBD SECURITIES, LLC

TRUST BUT VERIFY

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