Ulderico Conte

CM CAPITAL PARTNERS

Millstone Township, NJ 08535

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CRD#: 2163160

Professional summary

Ulderico Conte, who also goes by Rico Conte, is a registered financial advisor currently at CM CAPITAL PARTNERS located in Millstone Township, New Jersey and SPENCER-WINSTON SECURITIES CORPORATION located in New York, New York.

Ulderico is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Ulderico has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rico Conte

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 Ulderico Conte'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 25, 2018 - Present

CM CAPITAL PARTNERS

Office #1: 6 Horseshoe Drive, Millstone Township, NJ 08535

RIA

CRD#: 291720

Millstone Township, NJ

Current

January 6, 2026 - Present

SPENCER-WINSTON SECURITIES CORPORATION

Office #1: 45 West 47th Street Suite 402, New York, NY 10036-2825

CRD#: 8300

New York, NY

Past

September 26, 2022 - January 6, 2026

CIM SECURITIES, LLC

CRD#: 120852

Wall Township, NJ

Past

July 21, 2022 - September 1, 2022

BA SECURITIES, LLC

CRD#: 153489

W. CONSHOHOCKEN, PA

Past

February 20, 2018 - July 22, 2022

AEON CAPITAL INC

CRD#: 164004

NEW YORK, NY

Past

August 25, 2017 - February 1, 2018

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 133088

RED BANK, NJ

Past

October 14, 2016 - February 1, 2018

GARDEN STATE SECURITIES, INC.

CRD#: 10083

HENDERSON, NV

Past

May 4, 2005 - November 22, 2011

PIN FINANCIAL, LLC

CRD#: 132876

NEW YORK, NY

Past

October 25, 2004 - May 25, 2005

GARDEN STATE SECURITIES, INC.

CRD#: 10083

RED BANK, NJ

Past

June 30, 2003 - October 15, 2004

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

NEW YORK, NY

Past

October 25, 2002 - February 7, 2003

RUMSON CAPITAL, LLC

CRD#: 33848

MONTEBELLO, NY

Past

January 16, 2001 - September 26, 2002

STONE HARBOR FINANCIAL SERVICES, LLC

CRD#: 102320

FREEHOLD, NJ

Past

December 16, 1999 - December 21, 2000

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

PORTLAND, OR

Past

March 18, 1997 - December 16, 1999

ALEXANDER, WESCOTT, & CO., INC.

CRD#: 35935

UTICA, NY

Past

May 20, 1996 - January 22, 1997

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

August 17, 1995 - May 24, 1996

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

November 12, 1993 - August 22, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 25, 1991 - July 15, 1992

HIBBARD BROWN & CO., INC.

CRD#: 18246

NEW YORK, NY

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.

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

IAR

Florida
(12/23/2019)

IAR

Louisiana
(2/20/2018)

IAR

Nevada
(8/16/2019)

IAR

New Jersey
(1/25/2018)

New Jersey
(2/10/2026)

IAR

New York
(8/3/2021)

New York
(1/6/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/18/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/7/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 1/9/2018

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 55

Date: 3/8/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/22/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/18/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CM CAPITAL PARTNERS

CENTRADE | CM CAPITAL PARTNERS

CRD#: 291720 / SEC#:

Florida

Registered Investment Advisory firm - (12/23/2019 Approved)

Louisiana

Registered Investment Advisory firm - (2/20/2018 Approved)

Nevada

Registered Investment Advisory firm - (8/16/2019 Approved)

New Jersey

Registered Investment Advisory firm - (1/25/2018 Approved)

New York

Registered Investment Advisory firm - (5/23/2019 Approved)

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Contact information

Main Address

6 Horseshoe Drive, Millstone Township, NJ 08535

Mailing Address

Phone number

(702) 755-7304

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	74
AUM (Assets Under Management)	$ 15,300,000

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.

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Ulderico Conte

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ulderico Conte's CRS (Customer Relationship Summary).

Certified licenses

Experience

CM CAPITAL PARTNERS

SPENCER-WINSTON SECURITIES CORPORATION

CIM SECURITIES, LLC

BA SECURITIES, LLC

AEON CAPITAL INC

GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC

GARDEN STATE SECURITIES, INC.

PIN FINANCIAL, LLC

GARDEN STATE SECURITIES, INC.

TRADITION SECURITIES AND DERIVATIVES LLC

RUMSON CAPITAL, LLC

STONE HARBOR FINANCIAL SERVICES, LLC

PAULSON INVESTMENT COMPANY LLC

ALEXANDER, WESCOTT, & CO., INC.

H.J. MEYERS & CO., INC.

CIBC WORLD MARKETS CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

HIBBARD BROWN & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/18/2017

Series 63

Date: 12/7/2016

SIE

Date: 10/1/2018

Series 79

Date: 1/9/2018

Series 55

Date: 3/8/2001

Series 7

Date: 11/22/1991

Series 24

Date: 6/18/2018

FINRA

Current Firm

CM CAPITAL PARTNERS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CM CAPITAL PARTNERS

TRUST BUT VERIFY

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