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UD

Ulises D. Delgado

PACIFIC SELECT DISTRIBUTORS
Newport Beach, CA 92660
Some features on this profile are disabled
CRD#: 5166004
UD

Professional summary

Ulises Daniel Delgado II, who also goes by Ulises Daniel Delgado, is a registered financial professional currently at PACIFIC SELECT DISTRIBUTORS, LLC located in Newport Beach, California.

Ulises is registered as a RR (Registered Representative) and started their career in finance in 2006. Ulises has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ulises Daniel Delgado

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 Ulises Daniel Delgado II's CRS (Customer Relationship Summary).
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

January 20, 2017 - Present

PACIFIC SELECT DISTRIBUTORS, LLC

Office #1: 700 Newport Center Drive, Newport Beach, CA 92660
BD
CRD#: 4452
Newport Beach, CA
Past

January 27, 2015 - July 29, 2016

RS FUNDS DISTRIBUTOR LLC

BD
CRD#: 165753
VILLANOVA, PA
Past

July 23, 2013 - January 26, 2015

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA
CRD#: 107105
NEW YORK, NY
Past

January 22, 2013 - January 26, 2015

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
PRINCETON, NJ
Past

July 25, 2008 - January 2, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
ST. PETERSBURG, FL
Past

July 18, 2008 - January 2, 2013

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. PETERSBURG, FL
Past

August 23, 2007 - May 19, 2008

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
CHARLOTTE, NC
Past

August 21, 2007 - May 19, 2008

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
CHARLOTTE, NC
Past

December 15, 2006 - January 24, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
TAMPA, FL
Past

September 27, 2006 - January 24, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
TAMPA, FL

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
Florida
(1/23/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/13/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/26/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PACIFIC SELECT DISTRIBUTORS, LLC
PACIFIC EQUITY SALES COMPANY | PACIFIC SELECT DISTRIBUTORS, LLC | PACIFIC SELECT DISTRIBUTORS, INC. | PACIFIC SECURITIES | PACIFIC MUTUAL DISTRIBUTORS, INC. | PACIFIC MUTUAL DISTRIBURTORS, INC.

CRD#: 4452 / SEC#: , 8-15264

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
700 Newport Center Drive, Newport Beach, CA 92660-6397
Mailing Address
700 Newport Center Drive, Newport Beach, CA 92660-6397
Phone number
(949) 219-6579
Established
Delaware since 01/01/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PACIFIC LIFE INSURANCE COMPANYPARENT OF APPLICANT
DARE, BARBARA ALYCEVICE PRESIDENT5074108
KISSEL, GEOFFREY PCHIEF EXECUTIVE OFFICER7499710
LA ROQUE, SUZANNE MARIEASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER4222767
SMITH, TREVOR TIMOTHYVICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER4844953
YAMAUCHI, STARLA CHINVICE PRESIDENT, CORPORATE SECRETARY7721024

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

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452Newport Beach, CA 92660

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