Patrick J. Woelfel
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.
Patrick James Woelfel was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1984. Patrick had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 82, Series 6, Series 2, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2011 - April 21, 2021
FIRST TRUST ADVISORS LP
January 14, 2010 - June 27, 2011
BONDWAVE LLC
July 9, 2007 - April 21, 2021
FIRST TRUST PORTFOLIOS L.P.
July 26, 2002 - August 27, 2003
UBS FINANCIAL SERVICES INC.
September 24, 2001 - August 27, 2003
UBS FINANCIAL SERVICES INC.
May 4, 1998 - August 7, 2001
INVESCO CAPITAL MARKETS, INC.
September 25, 1990 - August 13, 1995
UBS FINANCIAL SERVICES INC.
November 8, 1984 - January 1, 1989
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
Primary Firm SEC Registration
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
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
Series 2
Date: 5/5/1995
Non-Member General Securities ExaminationCurrent Firm
FIRST TRUST ADVISORS LP
CRD#: 107027 / SEC#: 801-39950
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,033 |
| AUM (Assets Under Management) | $ 256,328,000,000 |
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.
