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CW

Christopher J. Wolfe

PENNINGTON PARTNERS & CO.
BETHESDA, MD 20814
Some features on this profile are disabled
CRD#: 2055127
CW

Professional summary

Christopher James Wolfe, CFP®, who also goes by Christopher James Wolfe, Chris J Wolfe, is a registered financial advisor currently at PENNINGTON PARTNERS & CO., LLC located in Bethesda, Maryland.

Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Christopher has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 16, Series 7, Series 24, Series 23, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Christopher James Wolfe | Chris J Wolfe

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher James Wolfe'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®
CFP®

Certified Financial Planner

Experience

Current

January 31, 2025 - Present

PENNINGTON PARTNERS & CO., LLC

Office #1: 7500 Old Georgetown Road Suite 705, Bethesda, MD 20814
RIA
CRD#: 282688
BETHESDA, MD
Past

May 30, 2024 - July 26, 2024

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
NEW YORK, NY
Past

September 29, 2023 - July 26, 2024

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

July 6, 2016 - July 29, 2024

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA
CRD#: 108559
NEW YORK, NY
Past

July 6, 2016 - September 29, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

BD
CRD#: 105108
San Francisco, CA
Past

March 8, 2011 - July 5, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

March 8, 2011 - July 5, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 27, 2006 - September 29, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

October 20, 2006 - September 29, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

August 19, 2005 - September 19, 2006

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

May 1, 2001 - November 2, 2004

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

November 13, 1997 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, 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".
PP
PENNINGTON PARTNERS & CO., LLC
BYRD FAMILY OFFICE, LLC | SAAS VENTURES, GP | PENNINGTON-TX, LLC | PENNINGTON REAL ESTATE PARTNERS, LLC | PENNINGTON PARTNERS & CO., LLC | PENNINGTON APPRECIATION FUND GP, LLC | PENNINGTON ALTERNATIVE INCOME IDF GP, LLC | PENNINGTON ALTERNATIVE INCOME FUND GP, LLC

CRD#: 282688 / SEC#: 801-107210

RIA
Registered Investment Advisory firm - (1/28/2016 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Maryland
(1/31/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/1997
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/24/1992
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/30/2008
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 16
Date: 12/2/1998
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 7
Date: 11/12/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 23
Date: 3/9/2007
General Securities Principal Sales Supervisor
Principal/Supervisory Exam
RR
Series 10
Date: 4/28/2004
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/28/2004
General Securities Sales Supervisor - Options Module Examination

Current Firm

PP
PENNINGTON PARTNERS & CO., LLC
BYRD FAMILY OFFICE, LLC | SAAS VENTURES, GP | PENNINGTON-TX, LLC | PENNINGTON REAL ESTATE PARTNERS, LLC | PENNINGTON PARTNERS & CO., LLC | PENNINGTON APPRECIATION FUND GP, LLC | PENNINGTON ALTERNATIVE INCOME IDF GP, LLC | PENNINGTON ALTERNATIVE INCOME FUND GP, LLC

CRD#: 282688 / SEC#: 801-107210

RIA
Registered Investment Advisory firm - (1/28/2016 Approved)
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Contact information

Main Address
7500 Old Georgetown Road Suite 705, Bethesda, MD 20814
Mailing Address
Phone number
(202) 370-6435
Established
Firm type
Fiscal year end
# of Employees
27

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PENNINGTON PARTNERS ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts1,026
AUM (Assets Under Management)$ 3,952,033,573

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/21/2025
Cover Page
Report
02/27/2025
Cover Page
Report
03/07/2024
Cover Page
Report
03/27/2023
Cover Page
Report

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.

Company Information

PENNINGTON PARTNERS & CO., LLC

CRD#: 282688Bethesda, MD 20814

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