Ulrik C. Trampe
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.
Ulrik Christian Trampe was a registered financial professional .
Ulrik is a previously registered financial professional and started their career in finance in 1984. Ulrik had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 55, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2020 - October 24, 2024
ODIN CAPITAL MANAGEMENT
September 20, 2005 - April 5, 2007
DAIWA CAPITAL MARKETS AMERICA INC.
July 22, 2002 - June 15, 2005
HSBC SECURITIES (USA) INC.
December 17, 1996 - May 6, 2002
COMMERZ MARKETS LLC
October 6, 1988 - December 17, 1996
KLEINWORT BENSON NORTH AMERICA INC.
March 23, 1984 - September 22, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 55
Date: 11/16/2005
Limited Representative-Equity Trader ExamSeries 8
Date: 6/26/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ODIN CAPITAL MANAGEMENT
CRD#: 167404 / SEC#: 801-122028
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 249,893,221 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 3/26/2021 |
| Connecticut | ERA - Withdrawn | 9/23/2020 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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