Craig F. Wollenburg
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.
Craig Frank Wollenburg, who also goes by Craig Frank Wallenberg, Wally Wollenburg, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1988. Craig had worked at 8 firms and has passed the Series 65, 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
June 21, 2004 - September 15, 2011
SPENCER EDWARDS, INC.
May 15, 2002 - June 23, 2004
STONEX SECURITIES INC.
December 2, 1997 - July 22, 1998
HUNTINGDON SECURITIES CORPORATION
May 17, 1997 - May 15, 2002
AMERICAN INVESTMENT SERVICES, INC.
March 10, 1995 - May 17, 1997
VARIABLE ASSET STRATEGIES, INC.
June 16, 1992 - March 14, 1995
ND CAPITAL, INC.
January 20, 1992 - March 20, 1995
SECURITIES AMERICA, INC.
September 6, 1988 - February 6, 1992
FSC SECURITIES CORPORATION
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
SPENCER EDWARDS, INC.
CRD#: 22067 / SEC#: , 8-39511
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
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.
