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Ugur Sarman

CASTLE HILL CAPITAL PARTNERS
New York, NY 10017
Some features on this profile are disabled
CRD#: 5446319
US

Professional summary

Ugur Sarman, who also goes by Hikmet Ugur Sarman, is a registered financial professional currently at CASTLE HILL CAPITAL PARTNERS, INC. located in New York, New York.

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

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Hikmet Ugur Sarman

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 Ugur Sarman'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

August 3, 2023 - Present

CASTLE HILL CAPITAL PARTNERS, INC.

Office #1: 216 East 45th Street, Suite 1301, New York, NY 10017
BD
CRD#: 44131
New York, NY
Past

September 23, 2022 - August 3, 2023

FINALIS SECURITIES LLC

BD
CRD#: 305908
NEW YORK, NY
Past

January 11, 2021 - September 26, 2022

CASTLE HILL CAPITAL PARTNERS, INC.

BD
CRD#: 44131
NEW YORK, NY
Past

November 13, 2019 - December 31, 2020

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
GLEN RIDGE, NJ
Past

February 15, 2017 - April 11, 2019

MARCO POLO SECURITIES INC.

BD
CRD#: 46561
NEW YORK, NY
Past

May 2, 2016 - January 3, 2017

ROSENBLATT SECURITIES INC.

BD
CRD#: 18377
NEW YORK, NY
Past

March 17, 2014 - April 29, 2016

MARCO POLO SECURITIES INC.

BD
CRD#: 46561
NEW YORK, NY
Past

August 26, 2009 - February 10, 2014

AUERBACH GRAYSON & COMPANY LLC

BD
CRD#: 30761
NEW YORK, NY
Past

November 19, 2007 - June 15, 2009

NBGI SECURITIES INC.

BD
CRD#: 104322
NEW YORK, NY

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
New York
(8/3/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 1/18/2008
Uniform Securities Agent 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: 11/16/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CH
CASTLE HILL CAPITAL PARTNERS, INC.
BOUCHEY & ASSOCIATES, INC. | CASTLE HILL CAPITAL PARTNERS, INC.

CRD#: 44131 / SEC#: , 8-50550

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
216 East 45th Street, Suite 1301, New York, NY 10017
Mailing Address
216 East 45th Street, Suite 1301, New York, NY 10017
Phone number
(212) 784-6104
Established
New York since 09/05/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (40 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#
SAUNDERS, ANDREW O'BRIENPRESIDENT5690785
WEBSTER, GEOFFREY LEHMANPRINCIPAL OPERATING OFFICER, PRINCIPAL FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER2561071

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

CASTLE HILL CAPITAL PARTNERS, INC.

CRD#: 44131New York, NY 10017

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