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DU

Dennis K. Ulikowski

ROBERTS & RYAN
New York, NY 10006-3003
Some features on this profile are disabled
CRD#: 2813360
DU

Professional summary

Dennis K Ulikowski JR., who also goes by Dennis K Ulikowski Jr, Dennis K Ulikowski, is a registered financial professional currently at ROBERTS & RYAN, INC. located in New York, New York.

Dennis is registered as a RR (Registered Representative) and started their career in finance in 1999. Dennis has worked at 12 firms and has passed the Series 63, SIE, Series 25 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dennis K Ulikowski Jr | Dennis K Ulikowski

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 Dennis K Ulikowski JR.'s CRS (Customer Relationship Summary).
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

March 1, 2024 - Present

ROBERTS & RYAN, INC.

Office #1: 39 Broadway Ste 610, New York, NY 10006-3003Office #2: 11 Wall Street, New York, NY 10005
BD
CRD#: 19456
New York, NY
Past

August 27, 2014 - March 5, 2024

BEACONS STRATEGIC CAPITAL, INC.

BD
CRD#: 32754
New York, NY
Past

July 23, 2013 - November 4, 2015

MONTECITO ADVISORS, INC.

BD
CRD#: 104004
NEW YORK, NY
Past

July 26, 2012 - September 3, 2014

DME SECURITIES, LLC

BD
CRD#: 112584
NEW YORK, NY
Past

March 18, 2011 - August 28, 2012

MARQUIS HOLDINGS, INC.

BD
CRD#: 123621
NEW YORK, NY
Past

January 19, 2007 - March 25, 2011

BAY CREST PARTNERS, LLC

BD
CRD#: 39944
NEW YORK, NY
Past

January 10, 2007 - February 6, 2007

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

March 30, 2006 - April 19, 2006

DORTHEIMER, MICHAEL KENNETH

BD
CRD#: 128613
NEW YORK, NY
Past

January 30, 2006 - April 6, 2006

HAGGERTY & CO., LLC

BD
CRD#: 135134
NEW YORK, NY
Past

April 3, 2002 - February 6, 2006

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

February 6, 2001 - March 28, 2002

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

April 15, 1999 - January 31, 2001

DIRECT BROKERAGE, INC.

BD
CRD#: 24907
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/1/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 25
Date: 9/26/2007
NYSE Trading Assistant Examination
General Industry/Product Exam
RR
Series 7
Date: 2/16/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

R&
ROBERTS & RYAN, INC.
ROBERTS & RYAN INVESTMENTS INC. | ROBERTS SECURITIES, INC. | ROBERTS & RYAN, INC.

CRD#: 19456 / SEC#: 801-113965, 8-37469

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

Main Address
39 Broadway Ste 1640, New York, NY 10006
Mailing Address
39 Broadway Ste 610, New York, NY 10006-3003
Phone number
(866) 884-9959
Established
Delaware since 02/01/2023
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (32 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
DALESSANDRO, EDWARD JOHNMANAGING DIRECTOR, CEO2335785
R&R PARTNERS HOLDING COMPANY, LLCSHAREHOLDER
R&R PRINCIPALS HOLDING COMPANY, LLCSHAREHOLDER
BEATON, DANIEL STEWARTCHIEF FINANCIAL OFFICER, FINOP4240769
ROBERTS, DANIELCCO2208120
SCALA, BRIAN NMNREGISTERED OPTIONS PRINCIPAL2814478

Disclosures

Regulatory Event1

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.

Company Information

ROBERTS & RYAN, INC.

CRD#: 19456New York, NY 10006-3003

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