Werner Ulrich
Professional summary
Werner Ulrich was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Werner is a previously registered financial professional and started their career in finance in 1968. Prior to being barred, Werner had worked at 2 firms, which includes DOMINICK & DICKERMAN LLC, DOMIK CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 1988 - January 3, 2000
DOMINICK & DICKERMAN LLC
April 2, 1968 - October 3, 1988
DOMIK CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 12/2/1977
AMEX Put and Call ExamSeries 1
Date: 11/20/1962
Registered Representative ExaminationCurrent Firm
DOMINICK & DICKERMAN LLC
CRD#: 7344 / SEC#: 801-63247, 8-21076
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DM TRUST | OWNER | |
| DERBY WEST LLC | TRUSTEE OF DM TRUST | |
| HLADEK, ROBERT MICHAEL | CEO | |
| HLADEK, ROBERT MICHAEL | SR. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2199923 |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 11 |
| Bond | 1 |
Red Flags
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