Leslie J. Wolfson

WOLFSON WEALTH MANAGEMENT

ISELTON, CA

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CRD#: 1113801

Professional summary

Leslie Jay Wolfson, who also goes by Les J Wolfson, Les Jay Wolfson, is a registered financial advisor currently at WOLFSON WEALTH MANAGEMENT located in Iselton, California.

Leslie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Leslie has worked at 9 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 5 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Les J Wolfson | Les Jay Wolfson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

DELTA BROKERS; NOT INVESTMENT RELATED; 111 Oxbow Marina Drive Isleton, CA 95641; REAL ESTATE; OWNER; 01/2011;20HRS PER MONTH; NO HOURS DURING SECURITIES TRADING HOURS; REAL ESTATE BROKER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Jay Wolfson's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 10, 2011 - Present

WOLFSON WEALTH MANAGEMENT

RIA

CRD#: 154034

ISELTON, CA

Past

June 22, 2010 - December 31, 2010

WOLFSON WEALTH MANAGEMENT

RIA

CRD#: 154034

ISLETON, CA

Past

June 1, 2009 - June 30, 2010

MORGAN STANLEY

RIA

CRD#: 149777

STOCKTON, CA

Past

June 1, 2009 - June 30, 2010

MORGAN STANLEY

CRD#: 149777

STOCKTON, CA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

STOCKTON, CA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

STOCKTON, CA

Past

September 17, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ISLETON, CA

Past

September 17, 2004 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

ISLETON, CA

Past

July 8, 1997 - October 4, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

ISLETON, CA

Past

July 31, 1993 - October 4, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 5, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

December 24, 1987 - February 7, 1989

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

August 19, 1986 - December 12, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

April 19, 1983 - September 5, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/10/2011)

IAR

Texas
(6/12/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/2/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 10/17/1996

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/2/1993

General Securities Representative Examination

General Industry/Product Exam

Series 5

Date: 5/19/1983

Interest Rate Options Examination

Current Firm

WOLFSON WEALTH MANAGEMENT

LESLIE WOLFSON | WOLFSONWEALTH MANAGEMENT | WOLFSON, LESLIE JAY | WOLFSON WEALTH MANAGEMENT, LLC | WOLFSON WEALTH MANAGEMENT

CRD#: 154034 / SEC#: 801-71527

RIA

Registered Investment Advisory firm - (1/6/2011 Terminated)

California

Registered Investment Advisory firm - (1/6/2011 Approved)

Texas

Registered Investment Advisory firm - (6/12/2024 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Isleton, CA

Mailing Address

Phone number

(916) 769-0078

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	87
AUM (Assets Under Management)	$ 21,400,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Leslie J. Wolfson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Jay Wolfson's CRS (Customer Relationship Summary).

Certified licenses

Experience

WOLFSON WEALTH MANAGEMENT

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

DREXEL BURNHAM LAMBERT INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 6/2/1993

Series 63

Date: 3/4/1993

Series 31

Date: 10/17/1996

Series 7

Date: 3/2/1993

Series 5

Date: 5/19/1983

Current Firm

WOLFSON WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WOLFSON WEALTH MANAGEMENT

TRUST BUT VERIFY

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