Sebastian S. Ullmann
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sebastian Siegfried Ullmann, who also goes by Sebastian Ullmann, was a registered financial professional .
Sebastian is a previously registered financial professional and started their career in finance in 2000. Sebastian had worked at 4 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2012 - May 18, 2015
GARY GOLDBERG & CO., INC.
August 14, 2010 - February 4, 2011
LARADORBECKER SECURITIES CORPORATION
October 13, 2004 - September 8, 2008
CEROS FINANCIAL SERVICES, INC.
March 15, 2004 - June 14, 2004
CEROS FINANCIAL SERVICES, INC.
January 2, 2000 - May 12, 2003
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GARY GOLDBERG & CO., INC.
CRD#: 6482 / SEC#: , 8-17550
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 5 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
