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Omar G. Ulrich

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CRD#: 4743791
OU

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.

Omar Geronimo Ulrich was a registered financial professional .

Omar is a previously registered financial professional and started their career in finance in 2004. Omar had worked at 3 firms and has passed the SIE, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 21, 2020 - August 25, 2022

EUROPEAN FAMILY OFFICE INSTITUTE LLC.

BD
CRD#: 285357
BOCA RATON, FL
Past

May 10, 2017 - January 29, 2018

SMITH CAPITAL MARKETS, LLC.

BD
CRD#: 121430
DALLAS, TX
Past

January 19, 2004 - June 8, 2010

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
GENEVA,

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/29/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/10/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/28/2017
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/9/2017
General Securities Principal Examination

Current Firm

EF
EUROPEAN FAMILY OFFICE INSTITUTE LLC.
ASTON BRADLEY TRADING COMPANY LLC | EUROPEAN FAMILY OFFICE INSTITUTE LLC. | DR. GEORGE P. SIMON

CRD#: 285357 / SEC#: , 8-69871

Florida
Registered Investment Advisory firm - SEC (8/23/2017 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
2299 Nw 4th Ave, Boca Raton, FL 33431
Mailing Address
2299 Nw 4th Ave, Boca Raton, FL 33431
Phone number
(561) 715-1231
Established
Florida since 08/10/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
1

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
SIMON, GEORGE PAPPPRESIDENT/CEO/CCO/CFO1351691

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
FloridaERA - Withdrawn1/23/2017

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.

Company Information

EUROPEAN FAMILY OFFICE INSTITUTE LLC.

CRD#: 285357

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