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Richard S. Wolff

Some features on this profile are disabled
CRD#: 1315305
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Professional summary

Richard Scott Wolff was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Richard had worked at 10 firms, which includes FLEMMING ANDERSON COHEN & LEE INC., PRIVATE INVESTORS CARTEL LTD., R.B. WEBSTER INVESTMENTS INC., WELLSHIRE SECURITIES INC., J. T. MORAN & CO. INC., ALISON BAER SECURITIES INC., PROFILE INVESTMENTS CORPORATION, J. W. GANT & ASSOCIATES INC., MICHELIN AND COMPANY INC., STATE CAPITAL FINANCIAL SERVICES CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Scott Wolfe

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 19, 1993 - September 23, 1993

FLEMMING, ANDERSON, COHEN & LEE, INC.

BD
CRD#: 23121
Past

November 20, 1992 - December 18, 1992

PRIVATE INVESTORS CARTEL, LTD.

BD
CRD#: 17690
Past

February 6, 1992 - January 19, 1993

FLEMMING, ANDERSON, COHEN & LEE, INC.

BD
CRD#: 23121
LITTLETON, CO
Past

April 24, 1990 - March 30, 1992

R.B. WEBSTER INVESTMENTS, INC.

BD
CRD#: 19273
Past

March 22, 1990 - April 20, 1990

WELLSHIRE SECURITIES, INC.

BD
CRD#: 17939
Past

June 30, 1989 - February 27, 1990

J. T. MORAN & CO., INC.

BD
CRD#: 15655
Past

May 25, 1989 - June 29, 1989

ALISON, BAER SECURITIES INC.

BD
CRD#: 11808
Past

September 2, 1987 - April 27, 1989

PROFILE INVESTMENTS CORPORATION

BD
CRD#: 16478
Past

January 2, 1987 - August 22, 1987

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963
Past

April 16, 1985 - January 2, 1987

MICHELIN AND COMPANY, INC.

BD
CRD#: 14447
Past

October 26, 1984 - August 20, 1986

STATE CAPITAL FINANCIAL SERVICES CORPORATION

BD
CRD#: 10879

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/3/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/5/1990
General Securities Principal Examination

Current Firm

FA
FLEMMING, ANDERSON, COHEN & LEE, INC.
AUBURN EQUITIES, INC. | PHOENIX PARTNERS, INC. | FLEMMING, ANDERSON, COHEN & LEE, INC.

CRD#: 23121 / SEC#: , 8-40210

BD
Cancelled by SEC on 10/03/1996
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 06/15/1988
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

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.

Company Information

FLEMMING, ANDERSON, COHEN & LEE, INC.

CRD#: 23121

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