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EU

Edward A. Ullrich

AW SECURITIES
Blue Ash, OH 45242-5554
Some features on this profile are disabled
CRD#: 5273169
EU

Professional summary

Edward Anton Ullrich, who also goes by Edward A Ullrich, Edward Ullrich, Tony Ullrich, is a registered financial professional currently at AW SECURITIES located in Blue Ash, Ohio.

Edward is registered as a RR (Registered Representative) and started their career in finance in 2007. Edward has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Edward A Ullrich | Edward Ullrich | Tony Ullrich

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 Edward Anton Ullrich'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

March 13, 2024 - Present

AW SECURITIES

Office #1: 9987 Carver Road, Suite 100, Blue Ash, OH 45242-5554
BD
CRD#: 103747
Blue Ash, OH
Past

April 22, 2021 - November 3, 2023

DIGITAL BROKERAGE SERVICES LLC

BD
CRD#: 308213
JERSEY CITY, NJ
Past

May 3, 2016 - November 3, 2023

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
COVINGTON, KY
Past

February 26, 2007 - November 3, 2023

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COVINGTON, KY

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
California
(3/13/2024)
RR
Ohio
(3/13/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/7/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/23/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/12/2010
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/27/2010
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

AS
AW SECURITIES
AW SECURITIES | PATHWAY RETIREMENT NETWORK | HANSON MCCLAIN SECURITIES | HANSON MCCLAIN RETIREMENT NETWORK, LP | HANSON MCCLAIN RETIREMENT NETWORK, LLC | HANSON MCCLAIN RETIREMENT NETWORK, L.P. | HANSON MCCLAIN

CRD#: 103747 / SEC#: 801-69038, 8-52250

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630
Mailing Address
340 Palladio Pkwy Suite 501, Folsom, CA 95630
Phone number
(916) 482-2196
Established
Delaware since 10/26/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
10

FINRA licenses (51 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

Part 2 Brochures

ADV PART 2 (1/17/2025)

Direct owners and executive officers

NamePositionCRD#
ALLWORTH FINANCIAL GROUP, L.P.GENERAL PARTNER
BEATON, DANIEL STEWARTFINOP4240769
FRIZE, BERNARD JOSEPH JRCHIEF COMPLIANCE OFFICER - BD2366022
GAMBLE, COREY CCHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO4919573
GREENBERG, BARRY YALECHIEF LEGAL COUNSEL5863733
GRIGSBY, GARY LAWSONCEO3167632
TAYLOR, KRISTIAN LEIGHVICE PRESIDENT- OPERATIONS4163800

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

AW SECURITIES

CRD#: 103747Blue Ash, OH 45242-5554

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