Patricia Oppito
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.
Patricia Oppito was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1985. Patricia had worked at 12 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 1999 - June 14, 2000
WOLFF INVESTMENT GROUP INCORPORATED
September 15, 1997 - September 15, 1998
LADENBURG THALMANN & CO. INC.
October 4, 1995 - September 12, 1997
RICKEL & ASSOCIATES, INC.
February 14, 1995 - October 23, 1995
JWGENESIS SECURITIES, INC.
November 7, 1994 - January 20, 1995
PRIME CHARTER LTD.
January 24, 1990 - November 7, 1994
BLUESTONE CAPITAL CORP.
May 16, 1988 - October 25, 1988
HILL THOMPSON MAGID & CO., INC.
December 15, 1987 - April 19, 1988
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
May 21, 1987 - January 22, 1988
STEINBERG & LYMAN
January 29, 1986 - May 26, 1987
GREENTREE SECURITIES CORP.
March 12, 1985 - September 25, 1985
VANDERBILT SECURITIES, INC.
February 21, 1985 - March 25, 1985
EQUITABLE SECURITIES OF NEW YORK,INC.
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
Current Firm
WOLFF INVESTMENT GROUP INCORPORATED
CRD#: 21930 / SEC#: , 8-39393
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASSIN, MICHAEL A | SHAREHOLDER | |
| SCHAEN, PATRICIA ANN | PRESIDENT, DIRECTOR | 412379 |
| ABER, STANLEY | SHAREHOLDER | |
| ADLER, LEN | FINOP | 2721453 |
| BREWSTER, BRUCE | SHAREHOLDER | 30219 |
| KAMEL, NANCY PRAGER | SHAREHOLDER | 4371829 |
| MICHAEL BIDDLE | SHAREHOLDER | |
| RUSSELL, VIRGINIA DE G | SHAREHOLDER | |
| SPINELLA, GERALDINE ANNE | SHAREHOLDER | 1014228 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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