Ulric W. Maduro

UCS INVESTMENT CO

Suwanee, GA

Some features on this profile are disabled

CRD#: 1712447

Professional summary

Ulric Walter Maduro JR, who also goes by Ric Maduro, Ulric Walter Maduro, Ulric Walter (jr) Maduro, is a registered financial advisor currently at UCS INVESTMENT CO located in Suwanee, Georgia.

Ulric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Ulric has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ric Maduro | Ulric Walter Maduro | Ulric Walter (jr) Maduro

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) - RIA

Click below to view Ulric Walter Maduro JR'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®

None

Experience

Current

January 28, 2014 - Present

UCS INVESTMENT CO

RIA

CRD#: 149258

Suwanee, GA

Past

August 6, 2009 - December 31, 2013

UCS INVESTMENT CO

RIA

CRD#: 149258

SUWANEE, GA

Past

July 11, 1991 - August 10, 1992

U.S. SECURITIES CLEARING CORP.

CRD#: 15403

SAN DIEGO, CA

Past

November 12, 1990 - February 21, 1991

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

August 8, 1990 - November 14, 1990

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

Past

December 14, 1989 - October 18, 1990

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

Past

January 23, 1989 - November 14, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 20, 1987 - January 10, 1989

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

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

Georgia
(1/28/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/7/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/16/1990

General Securities Principal Examination

Current Firm

UCS INVESTMENT CO

UCS FINANCIAL SERVICES | UCS INVESTMENT CO/UCS FUNDS | UCS INVESTMENT CO

CRD#: 149258 / SEC#:

Georgia

Registered Investment Advisory firm - (1/28/2014 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Suwanee, GA

Mailing Address

450 Old Peachtree Rd 101h, Suwanee, GA 30024

Phone number

(770) 572-2715

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ulric W. Maduro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ulric Walter Maduro JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

UCS INVESTMENT CO

U.S. SECURITIES CLEARING CORP.

FIRST UNION CAPITAL MARKETS CORP.

THE STUART-JAMES COMPANY, INCORPORATED

BLINDER, ROBINSON & CO., INC.

MORGAN STANLEY DW INC.

BLINDER, ROBINSON & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/2009

Series 63

Date: 7/29/1987

Series 7

Date: 8/15/1987

Series 24

Date: 7/16/1990

Current Firm

UCS INVESTMENT CO

Contact information

Documents

Red Flags

Company Information

UCS INVESTMENT CO

TRUST BUT VERIFY

Similar Advisors