Karl Henrik Ullner
Professional Summary
Karl Henrik Ullner, who also goes by Henrik Ullner, is a registered financial advisor currently at PARETO SECURITIES INC. located in New York, New York. Karl is registered as a RR (Registered Representative) and started their career in finance in 1997. Karl has worked at 5 firms and has passed the Series 63, Series 79TO, Series 57TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Henrik Ullner
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
NORDIC PARTNERS INC. | PARETO SECURITIES, INC. | PARETO SECURITIES USA | PARETO SECURITIES INC.
Contact Information
Main Address
150 East 52nd Street 29th Floor, New York, NY 10022Mailing Address
150 East 52nd Street 29th Floor, New York, NY 10022Phone Number
(212) 829-4200Established
Delaware since 10/03/1997Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (24 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PARETO SECURITIES AS | STOCKHOLDER | — |
| ALFHEIM, NIKLAS REINHOLD | HEAD OF FIXED INCOME SALES | 7593087 |
| DEMARCO, JOSEPH ROBERT | FINOP | 7980639 |
| HAAVALDSEN, EIRIK NMN | DIRECTOR | 7644368 |
| JOMAAS, CHRISTIAN NMN | DIRECTOR | 7182355 |
| SPAVENTA, ANTONELLA NMN | CEO, POO & CHIEF COMPLIANCE OFFICER | 4441100 |
| ULLNER, KARL HENRIK | REGISTERED PRINCIPAL | 2860967 |
Disclosures
Regulatory Event
1Civil Event
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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.
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State Registrations and Notice Filings
(9/15/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Karl Henrik Ullner's CRS (Customer Relationship Summary).
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