Kenneth W. Wolf

SOVEREIGN ASSET MANAGEMENT

Amherst, NY 14226

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CRD#: 1879299

Professional summary

Kenneth William Wolf is a registered financial advisor currently at SOVEREIGN ASSET MANAGEMENT located in Amherst, New York and LPL FINANCIAL LLC located in Amherst, New York.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Kenneth has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. 07/10/2025- The Money Men, Inc.- Business Entity For Tax/Investment Purposes Only- Not INV Related- At Reported Business Location(s)- Start date 01/05/2010 2. 07/10/2025- Priority Financial Group- Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 07/15/2013- 2 Hours Per Month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth William Wolf's CRS (Customer Relationship Summary).

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

August 18, 2017 - Present

SOVEREIGN ASSET MANAGEMENT

Office #1: 4043 Maple Road Suite 210a, Amherst, NY 14226

RIA

CRD#: 285103

Amherst, NY

Current

July 10, 2025 - Present

LPL FINANCIAL LLC

Office #1: 4043 Maple Road Suite 210 A, Amherst, NY 14226

RIA

CRD#: 6413

AMHERST, NY

Past

October 21, 2014 - May 22, 2025

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

AMHERST, NY

Past

May 13, 2008 - July 10, 2025

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

AMHERST, NY

Past

August 22, 1989 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

WILLIAMSVILLE, NY

Past

August 22, 1989 - May 14, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

WILLIAMSVILLE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SOVEREIGN ASSET MANAGEMENT

PRIORITY FINANCIAL GROUP | THE MONEY MEN, INC. | SOVEREIGN ASSET MANAGEMENT

CRD#: 285103 / SEC#: 801-112498

RIA

Registered Investment Advisory firm - (2/21/2018 Approved)

New York

Registered Investment Advisory firm - (5/2/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/26/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(7/10/2025)

Florida
(7/10/2025)

Kentucky
(7/10/2025)

Massachusetts
(7/10/2025)

IAR

New York
(3/20/2021)

New York
(7/10/2025)

South Carolina
(7/10/2025)

IAR

Texas
(8/18/2017)

Texas
(7/10/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/20/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/14/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/18/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/21/1989

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SOVEREIGN ASSET MANAGEMENT

PRIORITY FINANCIAL GROUP | THE MONEY MEN, INC. | SOVEREIGN ASSET MANAGEMENT

CRD#: 285103 / SEC#: 801-112498

RIA

Registered Investment Advisory firm - (2/21/2018 Approved)

New York

Registered Investment Advisory firm - (5/2/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/26/2018 Terminated)

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Contact information

Main Address

4043 Maple Road, Suite 210 A, Amherst, NY 14226

Mailing Address

Phone number

(716) 768-1463

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2AB (8/8/2025)

Regulatory assets under management

Total Number of Accounts	683
AUM (Assets Under Management)	$ 150,571,000

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.

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Firm Stability Insights

Kenneth W. Wolf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth William Wolf's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SOVEREIGN ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 10/20/2014

Series 63

Date: 11/14/1989

SIE

Date: 10/1/2018

Series 7

Date: 9/18/2006

Series 6

Date: 8/21/1989

FINRA

Current Firm

SOVEREIGN ASSET MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOVEREIGN ASSET MANAGEMENT

TRUST BUT VERIFY

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