DW
Daniel J. Wolff
CARY STREET PARTNERS
Sarasota, FL 34240
Some features on this profile are disabled
CRD#: 2149200
DW
Professional summary
Daniel Jay Wolff, who also goes by Dan Wolff, is a registered financial advisor currently at CARY STREET PARTNERS located in Sarasota, Florida and CARY STREET PARTNERS located in Sarasota, Florida.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Daniel has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Wolff
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.
***N/A POSITION: Agent NATURE: INSURANCE SALES - AGENT - INVESTMENT RELATED - START DATE: 4/2009 - LOCATED AT 6710 PROFESSIONAL PKWY W, SUITE 203, SARASOTA, FL 34240 INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 04/01/2009 ADDRESS: 6710 Professional Pkwy W, Suite 203, Sarasota FL 34240 DESCRIPTION: Agent activities
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Jay Wolff's 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®
NoneExperience
Current
May 15, 2025 - Present
CARY STREET PARTNERS
Office #1: 6710 Professional Parkway West Suite 203, Sarasota, FL 34240RIA
CRD#: 128545
Sarasota, FL
Current
May 15, 2025 - Present
CARY STREET PARTNERS
Office #1: 6710 Professional Parkway Suite 203, Sarasota, FL 34240BD
CRD#: 128089
Sarasota, FL
Past
June 14, 2024 - May 17, 2025
OSAIC WEALTH, INC.
BD
CRD#: 23131
SARASOTA, FL
Past
January 5, 2011 - July 28, 2025
IFS ADVISORS, INC
RIA
CRD#: 153975
SARASOTA, FL
Past
December 4, 2009 - December 4, 2009
SOUTHERN TRUST FINANCIAL PLANNING
RIA
CRD#: 131377
SARASOTA, FL
Past
June 30, 2009 - January 24, 2011
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
SARASOTA, FL
Past
April 29, 2009 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SARASOTA, FL
Past
November 26, 2003 - March 19, 2009
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
September 21, 2001 - January 14, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 7, 1995 - February 2, 1999
FIRST LIBERTY INVESTMENT GROUP, INC.
BD
CRD#: 3536
PHILADELPHIA, PA
Past
August 7, 1991 - July 11, 1995
MERIDIAN, DUNHILL & CO., INC.
BD
CRD#: 15294
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".
CS
CARY STREET PARTNERS
CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC
CRD#: 128545 / SEC#: 801-64239
RIA
Registered Investment Advisory firm - (8/12/2005 Approved)Virginia
Registered Investment Advisory firm - (3/2/2007 Terminated)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.RR
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
RR
Alabama(5/15/2025)
RR
Arizona(5/15/2025)
RR
California(5/15/2025)
RR
Colorado(5/15/2025)
RR
Connecticut(5/15/2025)
RR
Florida(5/28/2025)
IAR
Florida(5/28/2025)
RR
Georgia(5/16/2025)
RR
Illinois(5/15/2025)
RR
Indiana(5/15/2025)
RR
Kansas(5/15/2025)
RR
Kentucky(5/15/2025)
RR
Maine(5/15/2025)
RR
Maryland(5/15/2025)
RR
Massachusetts(5/15/2025)
RR
Michigan(5/15/2025)
RR
Minnesota(5/15/2025)
RR
Missouri(5/15/2025)
RR
Montana(5/15/2025)
RR
New Hampshire(9/24/2025)
RR
New Jersey(5/15/2025)
RR
New Mexico(5/15/2025)
RR
New York(5/15/2025)
RR
North Carolina(5/29/2025)
RR
Ohio(5/15/2025)
RR
Oklahoma(5/15/2025)
RR
Oregon(5/15/2025)
RR
Pennsylvania(5/15/2025)
RR
South Carolina(5/15/2025)
RR
Tennessee(5/15/2025)
RR
Texas(5/15/2025)
IAR
Texas(5/15/2025)
RR
Utah(5/15/2025)
RR
Virginia(5/15/2025)
RR
Washington(5/15/2025)
RR
Wisconsin(5/15/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CARY STREET PARTNERS
CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC
CRD#: 128545 / SEC#: 801-64239
RIA
Registered Investment Advisory firm - (8/12/2005 Approved)Virginia
Registered Investment Advisory firm - (3/2/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
901 East Byrd Street Suite 1001, Richmond, VA 23219
Mailing Address
Phone number
(804) 340-8100
Established
Firm type
Fiscal year end
# of Employees
166
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,853 |
| AUM (Assets Under Management) | $ 8,263,891,736 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/22/2024 | ||
| 07/25/2023 | ||
| 01/27/2023 |
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.
