Michael C. Wolf

NATALLIANCE SECURITIES

Austin, TX 78746

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CRD#: 1307998

Professional summary

Michael Christopher Wolf is a registered financial professional currently at NATALLIANCE SECURITIES, LLC located in Austin, Texas.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1985. Michael has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Christopher Wolf's CRS (Customer Relationship Summary).

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

May 31, 2016 - Present

NATALLIANCE SECURITIES, LLC

Office #1: 3101 Bee Cave Rd Suite 270, Austin, TX 78746

CRD#: 39455

Austin, TX

Past

August 29, 2014 - May 31, 2016

CLEARVIEW TRADING ADVISORS, INC.

CRD#: 142873

Austin, TX

Past

December 3, 1996 - July 28, 2014

TEJAS SECURITIES GROUP, INC.

CRD#: 36705

AUSTIN, TX

Past

December 1, 1995 - November 5, 1996

SPIRES FINANCIAL, L.P.

CRD#: 38209

HOUSTON, TX

Past

November 18, 1994 - November 17, 1995

APS FINANCIAL CORPORATION

CRD#: 10033

AUSTIN, TX

Past

July 27, 1987 - August 24, 1994

WESTCAP GOVERNMENT SECURITIES, INC.

CRD#: 19645

Past

January 25, 1985 - November 21, 1994

WESTCAP SECURITIES, L.P.

CRD#: 7301

HOUSTON, TX

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Massachusetts
(6/2/2016)

New York
(5/31/2016)

Texas
(5/31/2016)

Virginia
(6/1/2016)

Exams

State Security Law Exam

Series 63

Date: 3/11/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/19/1985

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 11/1/1984

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 5/1/1989

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NATALLIANCE SECURITIES, LLC

CRD#: 39455 / SEC#: , 8-48723

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

3101 Bee Cave Rd Suite 800, Austin, TX 78701

Mailing Address

3101 Bee Cave Rd Suite 270, Austin, TX 78746

Phone number

(512) 609-1700

Established

Delaware since 12/31/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
NATALLIANCE HOLDING COMPANY LLC	OWNER
ADAMS, JASON	BOARD MEMBER	2690575
BRENNER, ANDREW SCOTT	BOARD MEMBER	1227535
BUSH, FRED COSTON	CFO/COO	3075024
CARREON, MICHELLE ELLIS	CCO	4861485
GIORDANO, MICHAEL JAMES	BOARD MEMBER	5942248
HENDRICKSON, GEORGE ALEXANDER BROWN	BOARD MEMBER	2382347
LIEPMAN, JOHN FRANCIS	BOARD MEMBER	2037298
LOERCH, SAMUEL JAMES	BOARD MEMBER	1195328
SALTER, MARK MYLES	BOARD MEMBER/CEO/PRESIDENT	1180139
TAYLOR, BRADFORD STEPHEN	BOARD MEMBER	5751455

Disclosures

Regulatory Event

Red Flags

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

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Michael C. Wolf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Christopher Wolf's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLEARVIEW TRADING ADVISORS, INC.

TEJAS SECURITIES GROUP, INC.

SPIRES FINANCIAL, L.P.

APS FINANCIAL CORPORATION

WESTCAP GOVERNMENT SECURITIES, INC.

WESTCAP SECURITIES, L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/11/1985

SIE

Date: 10/1/2018

Series 7

Date: 1/19/1985

Series 3

Date: 11/1/1984

Series 24

Date: 5/1/1989

FINRA

Current Firm

NATALLIANCE SECURITIES, LLC

Contact information

FINRA licenses (46 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATALLIANCE SECURITIES, LLC

TRUST BUT VERIFY

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