Anne C. Wolff
Professional summary
Anne Clarke Wolff, who also goes by Anne R Clarke, Anne Regina Clarke, Anne R Clarke Wolff, Anne R Clarkewolff, Anne Clarkewolff, Anne Clarke Wolff, is a registered financial professional 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 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Anne Clarke Wolff's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 16, 2022 - Present
INDEPENDENCE POINT SECURITIES LLC
Office #1: 101 Greenwich Street Suite 1202, New York, NY 10006May 10, 2019 - January 4, 2021
BOFA SECURITIES, INC.
November 16, 2011 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 6, 2011 - November 4, 2011
J.P. MORGAN SECURITIES LLC
September 1, 1998 - September 4, 2009
CITIGROUP GLOBAL MARKETS INC.
September 19, 1989 - September 1, 1998
SALOMON BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/4/2024)
(9/8/2022)
(5/17/2022)
(7/19/2022)
(9/2/2022)
(7/15/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
INDEPENDENCE POINT SECURITIES LLC
CRD#: 318171 / SEC#: , 8-70853
Contact information
FINRA licenses (7 States and Territories)
Documents
Red Flags
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