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MS

Mustafa Sonmez

UNLU SECURITIES
Istanbul,
Some features on this profile are disabled
CRD#: 6703871
MS

Professional summary

Mustafa Sonmez is a registered financial professional currently at UNLU SECURITIES INC. .

Mustafa is registered as a RR (Registered Representative) and started their career in finance in 2017. Mustafa has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

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) - BD

Click below to view Mustafa Sonmez's 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 28, 2017 - Present

UNLU SECURITIES INC.

Office #1: Ahi Evran Caddesi Polaris Plaza No:21 Kat:1 Maslak, Istanbul
BD
CRD#: 238786
Istanbul,

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
(12/25/2018)
RR
Ohio
(10/4/2019)
RR
Virginia
(10/4/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 12/25/2018
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: 1/28/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/17/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

US
UNLU SECURITIES INC.
UNLU SECURITIES INC.

CRD#: 238786 / SEC#: , 8-69627

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

Main Address
250 Park Avenue Suite 7077, New York, NY 10177
Mailing Address
250 Park Avenue Suite 7077, New York, NY 10177
Phone number
(212) 572-6319
Established
Delaware since 02/09/2015
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ÜNLÜ MENKUL DEGERLER A.S.OWNER
HALLERAN, KRISTIN MARIECHIEF COMPLIANCE OFFICER4726430
PORTNOFF, DAVID ROSSFINOP/CFO2977967
SERENLIOGLU, ENESPOO7516033
UNAL, ZEKAICEO7363474

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

UNLU SECURITIES INC.

CRD#: 238786Istanbul

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