Ulderico Conte
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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rico Conte
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
35 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
CENTRADE | CM CAPITAL PARTNERS
Contact Information
Main Address
6 Horseshoe Drive, Millstone Township, NJ 08535Phone Number
(702) 755-7304# of Employees
4Documents
Regulatory Assets Under Management
Total Number of Accounts
74AUM (Assets Under Management)
$15,300,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(12/23/2019)
(2/20/2018)
(10/26/2026)
(8/16/2019)
(1/25/2018)
(2/10/2026)
(8/3/2021)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Jan 2018About the Series 79 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Mar 2001SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Ulderico Conte's CRS (Customer Relationship Summary).
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