Karl H. Ullner

PARETO SECURITIES

New York, NY 10022

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CRD#: 2860967

Professional summary

Karl Henrik Ullner, who also goes by Henrik Ullner, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Henrik Ullner

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 Karl Henrik Ullner'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

September 15, 2020 - Present

PARETO SECURITIES INC.

Office #1: 150 East 52nd Street 29th Floor, New York, NY 10022

CRD#: 44734

New York, NY

Past

June 10, 2020 - October 12, 2020

INVICTA CAPITAL LLC

CRD#: 288101

OAKMONT, PA

Past

September 9, 2011 - November 1, 2019

DNB MARKETS, INC.

CRD#: 127605

NEW YORK, NY

Past

October 11, 1999 - June 6, 2011

PARETO SECURITIES INC.

CRD#: 44734

NEW YORK, NY

Past

February 11, 1999 - May 6, 1999

HAGSTROMER & QVIBERG, INC.

CRD#: 40094

NEW YORK, NY

Past

March 12, 1997 - September 10, 1998

AUERBACH GRAYSON & COMPANY LLC

CRD#: 30761

NEW YORK, NY

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

New York
(9/15/2020)

Exams

State Security Law Exam

Series 63

Date: 3/24/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 57TO

Date: 3/19/2021

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/19/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PARETO SECURITIES INC.

NORDIC PARTNERS INC. | PARETO SECURITIES, INC. | PARETO SECURITIES USA | PARETO SECURITIES INC.

CRD#: 44734 / SEC#: , 8-50796

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

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Contact information

Main Address

150 East 52nd Street 29th Floor, New York, NY 10022

Mailing Address

150 East 52nd Street 29th Floor, New York, NY 10022

Phone number

(212) 829-4200

Established

Delaware since 10/03/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (24 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
DUHONJ, BORJAN NMN	HEAD OF EQUITY SALES & TRADING	6869523
HAAVALDSEN, EIRIK NMN	DIRECTOR	7644368
JOMAAS, CHRISTIAN NMN	DIRECTOR	7182355
MILLER, ANDREW DAVID	FINOP	5106774
SPAVENTA, ANTONELLA NMN	CEO, POO & CHIEF COMPLIANCE OFFICER	4441100
ULLNER, KARL HENRIK	REGISTERED PRINCIPAL	2860967

Disclosures

Regulatory Event	1
Civil Event	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Karl H. Ullner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Karl Henrik Ullner's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVICTA CAPITAL LLC

DNB MARKETS, INC.

PARETO SECURITIES INC.

HAGSTROMER & QVIBERG, INC.

AUERBACH GRAYSON & COMPANY LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/24/1997

Series 79TO

Date: 1/2/2023

Series 57TO

Date: 3/19/2021

SIE

Date: 10/1/2018

Series 7

Date: 3/10/1997

Series 24

Date: 12/19/2001

FINRA

Current Firm

PARETO SECURITIES INC.

Contact information

FINRA licenses (24 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PARETO SECURITIES INC.

TRUST BUT VERIFY

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