Chris R. 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.
Chris Robert Wolff, who also goes by Chris Robert Wolff, was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 2012. Chris had worked at 7 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2021 - June 25, 2024
VELOCITY CLEARING, LLC
April 22, 2020 - February 5, 2021
DRIVEWEALTH, LLC
December 12, 2019 - March 27, 2020
APEX CLEARING CORPORATION
April 17, 2019 - March 27, 2020
ELECTRONIC TRANSACTION CLEARING, INC.
June 2, 2017 - December 10, 2018
MIRAE ASSET SECURITIES (USA) INC.
January 21, 2015 - May 19, 2017
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC
May 14, 2012 - June 3, 2014
JEFFERIES LLC
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
VELOCITY CLEARING, LLC
CRD#: 126588 / SEC#: , 8-65894
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 19 |
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.
