James M. Ulrick

SAVVY

Lakewood, CO

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CRD#: 5187240

Professional summary

James Michael Ulrick, who also goes by James Ulrick, James M Ulrick, is a registered financial advisor currently at SAVVY located in Lakewood, Colorado.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. James has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Ulrick | James M Ulrick

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.

RENTAL PROPERTY - NOT INVESTMENT RELATED 11158 W ADA PL LAKEWOOD, CO 80226 Real Estate Property Management - PROPERTY OWNER START 12.31.2015 LESS THAN 20 HOURS/MONTH - NONE DURING TRADING HOURS MAINTENANCE OF PROPERTY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Ulrick'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

October 3, 2025 - Present

SAVVY

RIA

CRD#: 318493

Lakewood, CO

Past

August 8, 2023 - September 24, 2025

FARTHER

RIA

CRD#: 302050

Lakewood, CO

Past

April 14, 2022 - July 27, 2023

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

FORT COLLINS, CO

Past

April 14, 2022 - July 27, 2023

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

FORT COLLINS, CO

Past

November 1, 2021 - March 31, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FORT COLLINS, CO

Past

November 1, 2021 - March 31, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

FORT COLLINS, CO

Past

June 14, 2010 - November 23, 2021

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Fort Collins, CO

Past

April 29, 2008 - November 23, 2021

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Fort Collins, CO

Past

March 20, 2007 - March 18, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

November 10, 2006 - January 16, 2007

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

WESTLAKE, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SAVVY

CRD#: 318493 / SEC#: 801-123656

RIA

Registered Investment Advisory firm - (4/11/2022 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(10/3/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/11/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/15/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/9/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SAVVY

CRD#: 318493 / SEC#: 801-123656

RIA

Registered Investment Advisory firm - (4/11/2022 Approved)

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Contact information

Main Address

111 West 33rd Street Unit 1410, New York, NY 10001

Mailing Address

Phone number

(833) 745-6789

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAVVY ADV PART 2 (8/19/2025)

Regulatory assets under management

Total Number of Accounts	3,776
AUM (Assets Under Management)	$ 1,295,318,161

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.

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Advisor Monitoring

Firm Stability Insights

James M. Ulrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Ulrick's CRS (Customer Relationship Summary).

Certified licenses

Experience

FARTHER

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

Primary Firm SEC Registration

SAVVY

State Registrations and Notice Filings

Exams

Series 66

Date: 6/11/2010

Series 63

Date: 12/15/2006

SIE

Date: 10/1/2018

Series 7

Date: 3/19/2007

Series 6

Date: 11/9/2006

Current Firm

SAVVY

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAVVY

TRUST BUT VERIFY

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