Andrew H. Wolf
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Harris Wolf was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1984. Andrew had worked at 9 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2003 - April 2, 2013
KESTRA INVESTMENT SERVICES, LLC
January 2, 2003 - April 2, 2013
KESTRA INVESTMENT SERVICES, LLC
March 3, 1999 - January 10, 2003
SECURITIES AMERICA ADVISORS, INC.
January 4, 1999 - January 6, 2003
SECURITIES AMERICA, INC.
January 16, 1996 - December 31, 1998
LPL FINANCIAL LLC
October 27, 1995 - November 6, 1995
LPL FINANCIAL LLC
June 30, 1993 - March 15, 1995
SECURIAN FINANCIAL SERVICES, INC.
June 4, 1992 - June 29, 1993
P.R. TAYLOR & CO., INC.
September 9, 1991 - October 25, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 9, 1991 - October 25, 1991
PRUCO SECURITIES, LLC.
April 11, 1989 - December 15, 1990
CARILLON INVESTMENTS, INC.
June 25, 1984 - February 13, 1989
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
