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Detailed Report
Marc James Ulmen
CRD#: 3249596
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 727 W SIOUX AVE
PIERRE, SD 57501
Registration History
20002002200420062008201020122014201620182020202220242026IAEDWARD JONES (CRD# 250)2007 - Present (17 years)BEDWARD JONES (CRD# 250)2002 - Present (22 years)BU.S. BANCORP PIPER JAFFRAY INC. (CRD# 665)1999 - 2002 (2 years)
License(s)

State Registrations

B
Alabama 1/30/2014
B
New Mexico 7/9/2010
B
Arizona 6/6/2002
B
North Carolina 11/8/2019
B
California 6/6/2002
B
North Dakota 6/6/2002
B
Colorado 6/6/2002
B
Ohio 7/18/2024
B
Florida 9/26/2013
B
Oklahoma 2/21/2025
B
Georgia 1/13/2010
B
Oregon 7/7/2016
B
Hawaii 3/10/2010
B
Pennsylvania 5/1/2019
B
Iowa 3/3/2009
B
South Dakota 6/6/2002
B
Kansas 5/18/2015
IA
South Dakota 12/5/2007
B
Kentucky 8/23/2024
B
Texas 4/18/2012
B
Maryland 11/10/2017
IA
Texas 12/18/2018
B
Minnesota 6/6/2002
B
Virginia 8/13/2013
B
Missouri 1/31/2013
B
Washington 9/23/2004
B
Montana 12/14/2009
B
Wisconsin 11/5/2018
B
Nebraska 6/6/2002
B
Wyoming 8/18/2006
B
Nevada 2/2/2024

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EDWARD JONES (CRD#:250)
727 W SIOUX AVE, PIERRE, SD 57501
Registered with this firm since 12/5/2007
B
EDWARD JONES (CRD#:250)
727 W SIOUX AVE, PIERRE, SD 57501
Registered with this firm since 6/6/2002
Previous Registration(s)
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B
 08/26/1999 - 05/15/2002 U.S. BANCORP PIPER JAFFRAY INC. (CRD#:665) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.