Steven R. Wolff
Professional summary
Steven Ray Wolff, who also goes by Steve Wolff, is a registered financial advisor currently at WWM FINANCIAL located in Carlsbad, California.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Steven has worked at 8 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Ray Wolff's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 29, 2011 - Present
WWM FINANCIAL
Office #1: 2131 Palomar Airport Rd Suite 330, Carlsbad, CA 92011July 29, 2011 - October 10, 2011
PURSHE KAPLAN STERLING INVESTMENTS
June 1, 2009 - August 9, 2011
MORGAN STANLEY
June 1, 2009 - August 9, 2011
MORGAN STANLEY
July 8, 1997 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
March 9, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
February 17, 1987 - March 24, 1987
ALLIED CAPITAL GROUP, INC.
July 23, 1986 - February 21, 1987
SECURITIES USA, INC.
Primary Firm SEC Registration
WWM FINANCIAL
CRD#: 157620 / SEC#: 801-72588
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/29/2011)
(1/11/2017)
Exams
Current Firm
WWM FINANCIAL
CRD#: 157620 / SEC#: 801-72588
Contact information
SEC notice filing (13 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,548 |
| AUM (Assets Under Management) | $ 342,090,884 |
Red Flags
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