John P. Ulrich
ULRICH INVESTMENT CONSULTANTS
Albuquerque, NM 87104
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CRD#: 1296113
Professional summary
John Paul Ulrich, CFP® is a registered financial advisor currently at ULRICH INVESTMENT CONSULTANTS located in Albuquerque, New Mexico.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. John has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Laguna Construction Company. Board member/Secretary. Non-investment related. IH 40W, Exit 114, Laguna, NM 87026, started, 1/2009, 5 approximate hours a month, assist with operation of the company. Laguna Economic Advancement (LEA) is a subsidiary of Laguna construction company. Board member. The company was created to assist with Economic Development efforts of the Pueblo of Laguna. Laguna Community Foundation. Board member. Non-investment firm and an UIC client. IH 40W, Exit 114, Laguna, NM 87026, started, 1/2011, approximately 4 hours a month to provide general governance of the organization. Mr. Ulrich serves as Co-Trustee of an UIC client's revocable trust since 11/2001 and spends about 4 hours per month. Public Member of NM State Investment Council, An investment related business where he will spend approximately 4 hours a month on this activity. Meetings are webcast for public viewing.
CRS (Client Relationship Summary) - RIA
Click below to view John Paul Ulrich'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®
CFP®
Start date: 2018
Experience
Current
January 3, 2012 - Present
ULRICH INVESTMENT CONSULTANTS
Office #1: 1805 Rio Grande Boulevard Nw Suite 1, Albuquerque, NM 87104Office #2: 711 Broadway Ste 355, San Antonio, TX 78215RIA
CRD#: 159499
Albuquerque, NM
Past
March 2, 2009 - January 9, 2012
SOVEREIGN INVESTMENT ADVISORS LLC
RIA
CRD#: 149040
ALBUQUERQUE, NM
Past
November 28, 2006 - February 17, 2010
SOVEREIGN WEALTH ADVISORS, INC.
RIA
CRD#: 140639
ALBUQUERQUE, NM
Past
March 30, 2005 - December 4, 2006
STRATEGIC WEALTH MANAGEMENT INC
RIA
CRD#: 107180
MERCER ISLAND, WA
Past
September 24, 1984 - November 13, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
UI
ULRICH INVESTMENT CONSULTANTS
ESTATE STRATEGIES | ULRICH OF TEXAS CONSULTING GROUP, LLC | ULRICH INVESTMENT CONSULTANTS | ULRICH CONSULTING GROUP, LLC D/B/A/ ULRICH INVESTMENT CONSULTANTS | ULRICH CONSULTING GROUP, LLC | ULRICH CONSULTING AND INVESTMENT GROUP, LLC | ESTATE STRATEGIES, INC.
CRD#: 159499 / SEC#: 801-72880
RIA
Registered Investment Advisory firm - (12/2/2011 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.Highlighted states indicate IAR registrations
IAR
New Mexico(1/4/2012)
IAR
Texas(1/3/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
UI
ULRICH INVESTMENT CONSULTANTS
ESTATE STRATEGIES | ULRICH OF TEXAS CONSULTING GROUP, LLC | ULRICH INVESTMENT CONSULTANTS | ULRICH CONSULTING GROUP, LLC D/B/A/ ULRICH INVESTMENT CONSULTANTS | ULRICH CONSULTING GROUP, LLC | ULRICH CONSULTING AND INVESTMENT GROUP, LLC | ESTATE STRATEGIES, INC.
CRD#: 159499 / SEC#: 801-72880
RIA
Registered Investment Advisory firm - (12/2/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1805 Rio Grande Boulevard Nw Suite 1, Albuquerque, NM 87104
Mailing Address
Phone number
(505) 224-9100
Established
Firm type
Fiscal year end
# of Employees
27
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,002 |
| AUM (Assets Under Management) | $ 3,196,950,001 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/13/2024 | ||
| 05/01/2023 | ||
| 11/08/2022 |
Red Flags
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Company Information
ULRICH INVESTMENT CONSULTANTS
CRD#: 159499Albuquerque, NM 87104TRUST BUT VERIFY
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