Daniel R. Wolff
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.
Daniel Reardon Wolff, who also goes by Daniel Rearson Wolff, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1985. Daniel had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2012 - December 31, 2014
AGENCY TRADING GROUP, INC.
July 8, 2005 - April 23, 2012
NEWEDGE SECURITIES, LLC
January 18, 1996 - July 27, 2004
PACIFIC CREST SECURITIES LLC
December 15, 1989 - August 31, 1995
PIPER SANDLER & CO.
May 1, 1985 - December 13, 1989
ROBERT W. BAIRD & CO. INCORPORATED
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 55
Date: 8/12/1999
Limited Representative-Equity Trader ExamCurrent Firm
AGENCY TRADING GROUP, INC.
CRD#: 108887 / SEC#: , 8-53088
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
Red Flags
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