Scott J. Ulm
Professional summary
Scott Jeffrey Ulm is a registered financial professional currently at BUCKLER SECURITIES LLC located in Greenwich, Connecticut.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1986. Scott has worked at 2 firms and has passed the SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Jeffrey Ulm's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 27, 2017 - Present
BUCKLER SECURITIES LLC
Office #1: 5 Greenwich Office Park, Suite 350, Greenwich, CT 06831October 22, 1986 - February 22, 2005
CREDIT SUISSE SECURITIES (USA) LLC
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
FINRA
Current Firm
BUCKLER SECURITIES LLC
CRD#: 284576 / SEC#: , 8-69807
Contact information
FINRA licenses (16 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARMOUR CAPITAL MANAGEMENT LP | SHAREHOLDER | 164570 |
| ARMOUR TRS INC | SHAREHOLDER | |
| CONIGLIARIO, THOMAS JOSEPH | CHIEF OPERATING OFFICER / PRINCIPLE OPERATIONS OFFICER | 1366831 |
| ESANNASON, CARLO YVAN | CCO | 4869110 |
| HARPER, GORDON MACKAY | CHIEF FINANCIAL OFFICER | 6632019 |
| JOSHI, JAI PAUL | CHIEF RISK OFFICER | 2263070 |
| KOKKO, LASSE ARTTURI | PRINCIPLE FINANCIAL OFFICER ("PFO") / FINOP | 6976957 |
| MISIANO, RICHARD JOHN | CHIEF EXECUTIVE OFFICER | 2339879 |
| ULM, SCOTT JEFFREY | PRINCIPAL | 1575205 |
Red Flags
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