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Douglas James Ulrich

Edelman Financial Engines

Oakbrook Terrace, IL

Oak Brook, IL

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Current Employers
Edelman Financial Engines

3945 Freedom Circle, Santa Clara, CA 95054 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2018-11-01
TX RA APPROVED_RES 2018-11-01
  • IL RA
    APPROVED
    Since 2018-11-01
  • TX RA
    APPROVED_RES
    Since 2018-11-01

Branch Locations

1 Tower Lane Suite 1950, Oakbrook Terrace, IL 60181 • United States

1515 W. 22Nd Street Suite 850W, Oak Brook, IL 60523 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Edelman Financial Services Llc Fairfax VA 05/2010 11/2018
Ef Legacy Securities, Llc Henrico VA 04/2016 10/2018
Financial Engines Advisors L.L.C. Sunnyvale CA 11/2018 09/2020
Financial Engines Advisors L.L.C. Santa Clara CA 09/2020 Present
  • 05/2010 → 11/2018
    Edelman Financial Services Llc
    Fairfax, VA
  • 04/2016 → 10/2018
    Ef Legacy Securities, Llc
    Henrico, VA
  • 11/2018 → 09/2020
    Financial Engines Advisors L.L.C.
    Sunnyvale, CA
  • 09/2020 → Present
    Financial Engines Advisors L.L.C.
    Santa Clara, CA
Previous Registrations
  • 2010-05-19 → 2018-11-01
    Edelman Financial Services, Llc
    Fairfax, VA
    Oak Brook, IL
    Glenveiw, IL
  • 2006-01-06 → 2010-04-22
    Wolf Financial Management, Llc
    Oakbrook Terrace, IL
    Oakbrook Terrace, IL
  • 2006-01-20 → 2007-12-31
    Wolf Financial Management, Llc
    Oak Brook, IL
    Oak Brook, IL
  • 2002-12-03 → 2004-09-10
    Goldman Sachs Wealth Services, L.P.
    Lake Forest, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-03
  • S66 Uniform Combined State Law Examination
    2002-06-03
Designations

View on SEC IAPD

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MICHAEL J DASTICE
VANESSA L PFAFF
KEVIN JAMES DAUGHERTY
KOMALPREET KAUR
Austin Michael Miller

Other Offices

UBS FINANCIAL SERVICES INC. · OAKBROOK TERRACE, IL
NORTHERN TRUST SECURITIES, INC. · OAKBROOK TERRACE, IL
UBS FINANCIAL SERVICES INC. · OAKBROOK TERRACE, IL
EDELMAN FINANCIAL ENGINES · Villa Park, IL
AMERIPRISE FINANCIAL SERVICES, LLC · Oakbrook Terrace, IL
B. RILEY WEALTH ADVISORS, INC. · OAKBROOK TERRACE, IL
UBS FINANCIAL SERVICES INC. · OAKBROOK TERRAC, IL
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