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Elaine Marie Simkowski

CRD# 1324108·Registered 1992 - 2012
Previously Registered: Being a previously registered professional could mean that Elaine 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.

Professional Summary

Elaine Marie Simkowski, who also goes by Elaine Marie Bellock, Elaine Marie Pulice, Elaine M Simkowski, was a registered financial advisor. Elaine was a previously registered financial professional and started their career in finance 1992 - 2012. Elaine had worked at 7 firms and has passed the Series 63, Series 7, Series 52 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Elaine Marie Bellock, Elaine Marie Pulice, Elaine M Simkowski

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

34 years in the financial services industry

Current & Past Employments

WOLFE & HURST BOND BROKERS INC.·CRD# 8288
BD
Chicago, IL
August 18, 2011 - April 30, 2012
PNC CAPITAL MARKETS LLC·CRD# 15647
BD
Chicago, IL
November 13, 2009 - April 20, 2011
NATCITY INVESTMENTS, INC.·CRD# 17490
BD
Chicago, IL
December 8, 2005 - November 13, 2009
J.P. MORGAN SECURITIES INC.·CRD# 18718
BD
New York, NY
August 2, 2004 - October 12, 2005
BANC ONE CAPITAL MARKETS, INC.·CRD# 23065
BD
Chicago, IL
May 3, 2001 - August 2, 2004
PIPER SANDLER & CO.·CRD# 665
BD
Minneapolis, MN
September 17, 1999 - May 21, 2001
NUVEEN SECURITIES, LLC·CRD# 469
BD
Chicago, IL
May 4, 1992 - September 16, 1999

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Current Firm

W&
WOLFE & HURST BOND BROKERS INC.

KEY STATE INVESTMENT INC. | WOLFE & HURST BOND BROKERS INC. | WOLFE & DRIZOS CORPORATES, INC.

CRD#: 8288 / SEC#: 8-24924
BD
Terminated by SEC on 01/28/2013

Contact Information

Established

New Jersey since 08/29/1988

Firm Type

Corporation

Fiscal Year End

June

Documents

Direct owners and executive officers

NamePositionCRD#
WOLFE & HURST, INCPARENT—
SIPKIN, JOSEPH GARYFINANCIAL OPERATIONS PRINCIAL/ CFO1334813
WOLFE, ALEXANDRA TORTOMASCCO5841338
WOLFE, GERARD JAMESCEO500707

Disclosures

Regulatory Event

4

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 2002About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Nov 1997About the Series 7 exam

Series 52 — Municipal Securities Representative Examination

Passed Apr 1992About the Series 52 exam

Series 24 — General Securities Principal Examination

Passed Mar 2006About the Series 24 exam

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CRS (Client Relationship Summary)

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

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