Ulf Marxen

STRATEGAS SECURITIES DBA STRATEGAS RESEARCH PARTNERS

New York, NY 10017

Some features on this profile are disabled

CRD#: 2506583

Professional summary

Ulf Marxen is a registered financial professional currently at STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS located in New York, New York.

Ulf is registered as a RR (Registered Representative) and started their career in finance in 1996. Ulf has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ulf Marxen'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

August 25, 2014 - Present

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

Office #1: 52 Vanderbilt Avenue 8th Floor, New York, NY 10017Office #2: 52 Vanderbilt Avenue 19th Floor, New York, NY, 10017

RIA

CRD#: 149326

New York, NY

Past

February 16, 2012 - March 14, 2014

IRC SECURITIES LLC

CRD#: 150022

NEW YORK, NY

Past

November 1, 2010 - November 2, 2010

COWEN PRIME SERVICES LLC

CRD#: 153397

GREENWICH, CT

Past

November 1, 2010 - December 5, 2011

MF GLOBAL INC.

CRD#: 6731

NEW YORK, NY

Past

March 16, 2009 - November 2, 2010

SANDERS MORRIS LLC

RIA

CRD#: 20580

GREENWICH, CT

Past

March 16, 2009 - November 2, 2010

SANDERS MORRIS LLC

CRD#: 20580

GREENWICH, CT

Past

January 15, 2004 - March 16, 2009

STANFORD GROUP COMPANY

RIA

CRD#: 39285

NEW YORK, NY

Past

January 15, 2004 - March 16, 2009

STANFORD GROUP COMPANY

CRD#: 39285

NEW YORK, NY

Past

July 25, 2002 - November 6, 2003

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

March 5, 2001 - November 6, 2003

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

December 20, 1996 - March 6, 2001

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

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".

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

STRATEGAS RESEARCH PARTNERS | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | STRATEGAS SECURITIES, LLC | STRATEGAS SECURITIES LLC | STRATEGAS RESEARCH PARTNERS, LLC

CRD#: 149326 / SEC#: 801-116875, 8-68138

RIA

Registered Investment Advisory firm - SEC (6/28/2019 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(9/2/2014)

Connecticut
(8/25/2014)

Delaware
(8/25/2014)

District of Columbia
(8/25/2014)

New York
(8/25/2014)

Pennsylvania
(8/25/2014)

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: 7/31/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/31/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/19/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/23/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

STRATEGAS RESEARCH PARTNERS | STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS | STRATEGAS SECURITIES, LLC | STRATEGAS SECURITIES LLC | STRATEGAS RESEARCH PARTNERS, LLC

CRD#: 149326 / SEC#: 801-116875, 8-68138

RIA

Registered Investment Advisory firm - SEC (6/28/2019 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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

52 Vanderbilt Avenue 19th Floor 19th Floor, New York, NY, 10017

Mailing Address

52 Vanderbilt Avenue 19th Floor, New York, NY, 10017

Phone number

(646) 292-7950

Established

New York since 12/06/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (16 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

STRATEGAS SECURITIES, LLC FORM ADV PART 2A BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
BAIRD FINANCIAL CORPORATION	SHAREHOLDER
ANTHONY, DANNELL WAYNE	FINOP, DIRECTOR OF FINANCE	7038021
BOHNSACK, NICHOLAS GREGORY	PRESIDENT / COO	4571796
BOOTH, STEVEN GREGORY	DIRECTOR	2147388
GABAY, EILEEN MARGARET	CHIEF OPERATING OFFICER	5602349
LANGENFELD, JON A	DIRECTOR	4322120
LOGUE, SOFIA	CHIEF COMPLIANCE OFFICER	6406784
RISSMILLER, DONALD JAMES	VICE CHAIRMAN / PRINCIPAL	5227351
TOTORO, MICHAEL A	CHIEF TECHNOLOGY OFFICER	1552053
TRENNERT, JASON RICHARD	CHAIRMAN / CEO	2079457

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

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ulf Marxen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ulf Marxen's CRS (Customer Relationship Summary).

Certified licenses

Experience

IRC SECURITIES LLC

COWEN PRIME SERVICES LLC

MF GLOBAL INC.

SANDERS MORRIS LLC

SANDERS MORRIS LLC

STANFORD GROUP COMPANY

STANFORD GROUP COMPANY

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

ABN AMRO SECURITIES LLC

Primary Firm SEC Registration

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/2017

Series 63

Date: 1/31/1997

SIE

Date: 10/1/2018

Series 7

Date: 12/19/1996

Series 24

Date: 5/23/2007

FINRA

Current Firm

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (16 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Red Flags

Company Information

STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS

TRUST BUT VERIFY

Similar Advisors