Ronald J. Ulak
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ronald John Ulak was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1977. Ronald had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2007 - December 31, 2014
KOVACK SECURITIES INC.
March 19, 2004 - July 20, 2007
BROOKSTREET SECURITIES CORPORATION
August 14, 2002 - April 15, 2004
DUPONT SECURITIES GROUP, INC.
March 7, 2002 - August 2, 2002
WALL STREET ACCESS
April 29, 1998 - March 25, 2002
CROWN FINANCIAL GROUP, INC.
June 2, 1997 - July 17, 1998
DUKE & CO., INC.
March 27, 1996 - March 6, 1997
STUART, COLEMAN & CO., INC.
September 14, 1989 - February 12, 1996
GRUNTAL & CO., L.L.C.
December 24, 1987 - May 11, 1989
GOLDEN HARRIS CAPITAL GROUP, INC.
August 28, 1984 - December 10, 1987
MULLER AND COMPANY, INC.
May 2, 1977 - December 8, 1987
PHILIPS, APPEL & WALDEN, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
