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JW

James H. Wolf

SECURITY CAPITAL BROKERAGE
Atlanta, GA 30303
Some features on this profile are disabled
CRD#: 1431363
JW

Professional summary

James Hamilton Wolf, who also goes by Jim Wolf, is a registered financial professional currently at SECURITY CAPITAL BROKERAGE, INC. located in Atlanta, Georgia.

James is registered as a RR (Registered Representative) and started their career in finance in 1986. James has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Wolf

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) - BD

Click below to view James Hamilton Wolf's CRS (Customer Relationship Summary).

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

Current

July 15, 2015 - Present

SECURITY CAPITAL BROKERAGE, INC.

Office #1: 260 Peachtree Street, Nw Suite 2200, Atlanta, GA 30303
BD
CRD#: 35405
Atlanta, GA
Past

August 27, 2012 - October 5, 2015

ENERECAP PARTNERS, LLC

BD
CRD#: 26554
ATLANTA, GA
Past

February 27, 2007 - August 23, 2010

FIG PARTNERS, LLC

BD
CRD#: 41554
NEW YORK, NY
Past

April 22, 2005 - February 28, 2007

PRITCHARD CAPITAL PARTNERS, LLC

BD
CRD#: 100480
NEW YORK, NY
Past

February 26, 2001 - December 14, 2004

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

September 4, 1998 - February 26, 2001

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.

BD
CRD#: 24074
NEW YORK, NY
Past

March 14, 1996 - August 27, 1998

REUTERS C CORPORATION

BD
CRD#: 14408
NEW YORK, NY
Past

May 10, 1989 - June 7, 1995

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

July 28, 1986 - May 9, 1989

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

April 3, 1986 - June 19, 1987

MICHAEL A WEISSER, INC.

BD
CRD#: 7069

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(7/15/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 9/10/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 5/30/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 10/21/1993
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SECURITY CAPITAL BROKERAGE, INC.
SECURITY CAPITAL BROKERAGE, INC.

CRD#: 35405 / SEC#: , 8-46669

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
260 Peachtree Street, Nw Suite 2200, Atlanta, GA 30303
Mailing Address
260 Peachtree Street, Nw Suite 2200, Atlanta, GA 30303
Phone number
(404) 230-8475
Established
Georgia since 10/04/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LEWIS, NATHAN LCEO, CCO, PRESIDENT & EXEC REP4193024
RICHMOND, LEROME CORDELLPASSIVE SHAREHOLDER
CARTER, ANA RFINOP, CFO4424794

Disclosures

Regulatory Event4

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

SECURITY CAPITAL BROKERAGE, INC.

CRD#: 35405Atlanta, GA 30303

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