Catalina Ulloa

Current Employers

Centric Wealth Management, Llc

333 W. Wacker Drive 6Th Floor, Chicago, IL 60606 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2018-03-23

IL RA
APPROVED

Since 2018-03-23

Branch Locations

333 W. Wacker Drive 6Th Floor, Chicago, IL 60606 • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Chicago	IL	03/2015	03/2018
Centric Wealth Management, Llc	Chicago	IL	03/2018	Present

03/2015 → 03/2018

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL
03/2018 → Present

Centric Wealth Management, Llc

Chicago, IL

Previous Registrations

2016-12-13 → 2018-03-13

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-12-12

S66 Uniform Combined State Law Examination

2016-12-12

View on SEC IAPD

Current Employers

Centric Wealth Management, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

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