Kenneth Ulrich, financial advisor Williamsville NY
86 score

Kenneth Ulrich

CRD Number: 1017571
Current Firm: Sii Investments, Inc.

Kenneth Ulrich (CRD# 1017571) is an Investment Advisor Representative working at Sii Investments, Inc. in Williamsville, NY and has over 26 years of experience in the finance industry. Kenneth Ulrich has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Sii Investments, Inc. Williamsville, NY Mar 2009 - Current 7
Fsc Securities Corporation Williamsville, NY Feb 1987 - Mar 2009 22
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1990
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Kenneth A. Ulrich
Phone Number: 800-426-5975
Firm Website: http://www.siionline.com
Registered State(s):
  • AZ
  • CO
  • CT
  • FL
  • LA
  • MD
  • NJ
  • NC
  • OH
  • PA
  • VA
  • WI
  • RI
  • CA
  • DC
  • GA
  • MA
  • MN
By the Numbers
  • Total Assets Under Management
    4,226
    MILLIONS
  • Total Number of Accounts
    30,484
    ACCOUNTS
  • Average Account Value
    $138,626
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
86

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