Alexander Ulrich
Professional summary
Alexander Ulrich, who also goes by Alex J. Ulrich, Alex Ulrich, Alexander Joseph Ulrich, is a registered financial professional currently at TRADEWEB LLC located in New York, New York and DEALERWEB LLC located in New York, New York.
Alexander is registered as a RR (Registered Representative) and started their career in finance in 2023. Alexander has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alexander Ulrich's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 15, 2023 - Present
TRADEWEB LLC
Office #1: 245 Park Avenue 30th Floor, New York, NY 10167July 27, 2023 - Present
DEALERWEB LLC
Office #1: 245 Park Avenue, New York, NY 10167State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/21/2023)
Exams
Series 7TO
Date: 6/15/2023
General Securities Representative ExaminationFINRA
Current Firm
DEALERWEB LLC
CRD#: 19662 / SEC#: , 8-38103
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADEWEB IDB MARKETS, INC. | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| COTTER, RICHARD JOSEPH JR | PRINCIPAL FINANCIAL OFFICER | 1611037 |
| GALINDO, JORGE ALBERTO JR | PRINCIPAL OPERATIONS OFFICER | 2501261 |
| HUESTIS, TIMOTHY DANIEL | EXECUTIVE REPRESENTATIVE | 4931620 |
| MCKEON, ALFRED PETER | PRESIDENT | 1666355 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| SULLIVAN, MICHAEL FRANCIS | CHIEF COMPLIANCE OFFICER | 3254037 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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