John H. 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.
John Harry Wolff, AIF®, CFP® was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2001
Experience
January 3, 2021 - August 21, 2024
WEALTHSPIRE ADVISORS
June 1, 2017 - December 31, 2020
WEALTHSPIRE ADVISORS
July 22, 2011 - June 2, 2017
CAPITAL FIDUCIARY ADVISORS, LLC
August 10, 2007 - September 23, 2011
CAPITAL FIDUCIARY ADVISORS, INC.
November 8, 2006 - October 15, 2007
USF SECURITIES, L.P.
October 27, 2006 - October 15, 2007
USF ADVISORS, LLC
September 15, 2003 - December 17, 2004
HSBC BROKERAGE (USA) INC.
July 1, 2003 - September 12, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - September 12, 2003
WELLS FARGO CLEARING SERVICES, LLC
April 18, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 23, 1996 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 14, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 14, 1988 - July 8, 1996
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
WEALTHSPIRE ADVISORS
CRD#: 106181 / SEC#: 801-49390
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
WEALTHSPIRE ADVISORS
CRD#: 106181 / SEC#: 801-49390
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 8,760 |
| AUM (Assets Under Management) | $ 25,786,873,286 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/17/2025 | ||
| 08/29/2024 | ||
| 06/28/2023 |
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.
