SU
Stephen P. Ulian
APOLLO GLOBAL SECURITIES
New York, NY 10019-2701
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CRD#: 2883411
SU
Professional summary
Stephen P Ulian, who also goes by Stephen Paul Ulian, is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1997. Stephen has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephen Paul Ulian
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.
CRS (Client Relationship Summary) - BD
Click below to view Stephen P Ulian'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®
NoneExperience
Current
August 16, 2023 - Present
APOLLO GLOBAL SECURITIES, LLC
Office #1: 9 West 57th Street 8th Fl, New York, NY 10019-2701BD
CRD#: 153502
New York, NY
Past
March 19, 2013 - November 1, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOSTON, MA
Past
August 19, 2010 - November 1, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, MA
Past
January 1, 2008 - July 23, 2010
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BOSTON, MA
Past
August 5, 2005 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
MARLBOROUGH, MA
Past
October 19, 2001 - June 6, 2005
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
May 23, 1997 - October 19, 2001
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(8/16/2023)
RR
Alaska(8/16/2023)
RR
Arizona(8/16/2023)
RR
Arkansas(8/16/2023)
RR
California(8/16/2023)
RR
Colorado(8/16/2023)
RR
Connecticut(8/16/2023)
RR
Delaware(8/16/2023)
RR
District of Columbia(8/16/2023)
RR
Florida(8/16/2023)
RR
Georgia(8/16/2023)
RR
Hawaii(8/16/2023)
RR
Idaho(8/16/2023)
RR
Illinois(8/16/2023)
RR
Indiana(8/16/2023)
RR
Iowa(8/16/2023)
RR
Kansas(8/16/2023)
RR
Kentucky(8/16/2023)
RR
Louisiana(8/16/2023)
RR
Maine(8/16/2023)
RR
Maryland(8/16/2023)
RR
Massachusetts(8/16/2023)
RR
Michigan(8/16/2023)
RR
Minnesota(8/16/2023)
RR
Mississippi(8/16/2023)
RR
Missouri(8/16/2023)
RR
Montana(8/16/2023)
RR
Nebraska(8/16/2023)
RR
Nevada(8/16/2023)
RR
New Hampshire(8/16/2023)
RR
New Jersey(8/16/2023)
RR
New Mexico(8/16/2023)
RR
New York(8/16/2023)
RR
North Carolina(8/16/2023)
RR
North Dakota(8/16/2023)
RR
Ohio(8/22/2023)
RR
Oklahoma(8/16/2023)
RR
Oregon(8/16/2023)
RR
Pennsylvania(8/16/2023)
RR
Puerto Rico(8/16/2023)
RR
Rhode Island(8/16/2023)
RR
South Carolina(8/16/2023)
RR
South Dakota(8/16/2023)
RR
Tennessee(8/16/2023)
RR
Texas(8/16/2023)
RR
Utah(8/16/2023)
RR
Vermont(8/16/2023)
RR
Virgin Islands(8/16/2023)
RR
Virginia(8/16/2023)
RR
Washington(8/16/2023)
RR
West Virginia(8/16/2023)
RR
Wisconsin(8/16/2023)
RR
Wyoming(8/16/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AG
APOLLO GLOBAL SECURITIES, LLC
AP CM, LLC | ATLAS SP SECURITIES | APOLLO GLOBAL SECURITIES, LLC
CRD#: 153502 / SEC#: , 8-68542
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
9 West 57th Street, New York, NY 10019-2701
Mailing Address
9 West 57th Street, New York, NY 10019-2701
Phone number
(212) 515-3200
Established
Delaware since 03/11/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APOLLO MANAGEMENT HOLDINGS, L.P. | MEMBER | |
| CHATTERJEE, WHITNEY A | MEMBER BOARD OFMANAGERS | 7874808 |
| DRESCHER, STEPHANIE | HEAD OF MARKETING | 3055145 |
| LEVY, YAEL KENAN | CHIEF COMPLIANCE OFFICER | 4435788 |
| NEEDLEMAN, ERIC DAVID | PRESIDENT | 2773431 |
| TREBING, ADAM P | CFO / FINOP / PFO / POO | 5828238 |
| TREBING, ADAM P | MEMBER BOARD OF MANAGERS | 5828238 |
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.
