Craig S Ulrich

Employer firm

Gwn Securities Inc. CRD 128929

$4.75B regulatory AUM 54 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2011 → Present
  Gwn Securities Inc.
  Palm Beach Gardens, FL

Other Businesses

LIFE, ACCIDENT, HEALTH, LONG TERM CARE INSURANCE, AND FIXED ANNUTIES POSITION: Advisor NATURE: Working with Fixed Annuities INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2013 ADDRESS: One Security Benefit Place, Topeka KS 66636 DESCRIPTION: Present product to clients based on there needs. KADES MARGOLIS, Is Investment Related, DBA, Financial Professional,09/13/2011,160 hours per month,160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales.

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-04-15
• S63 Uniform Securities Agent State Law Examination
  2011-10-04