Anne Clarke Wolff
Professional Summary
Anne Clarke Wolff, who also goes by Anne R Clarke, Anne Regina Clarke, Anne R Clarke Wolff, Anne R Clarkewolff, Anne Clarke Wolff, is a registered financial advisor currently at INDEPENDENCE POINT SECURITIES LLC located in New York, New York. Anne is registered as a RR (Registered Representative) and started their career in finance in 1989. Anne has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Anne R Clarke, Anne Regina Clarke, Anne R Clarke Wolff, Anne R Clarkewolff, Anne Clarke Wolff
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
INDEPENDENCE POINT SECURITIES | INDEPENDENCE POINT SECURITIES, LLC | INDEPENDENCE POINT SECURITIES LLC
Contact Information
Main Address
39 Broadway Suite 2140, New York, NY 10006Mailing Address
39 Broadway Suite 2140, New York, NY 10006Phone Number
(212) 468-5850Established
Delaware since 11/23/2021Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(4/4/2024)
(5/17/2022)
(7/19/2022)
(7/15/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Anne Clarke Wolff's CRS (Customer Relationship Summary).
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