Howard M. Wolfson

GOLD COAST SECURITIES

CINCINNATI, OH

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CRD#: 2154266

Professional summary

Howard Michael Wolfson, who also goes by Howard M Wolfson, is a registered financial advisor currently at GOLD COAST SECURITIES, INC. located in Cincinnati, Ohio.

Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Howard has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Howard M Wolfson

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 Howard Michael Wolfson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Howard Michael Wolfson'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®

None

Experience

Current

August 3, 2004 - Present

GOLD COAST SECURITIES, INC.

RIA

CRD#: 110925

CINCINNATI, OH

Current

August 3, 2004 - Present

GOLD COAST SECURITIES, INC.

RIA

CRD#: 110925

Gold River, CA

Past

May 4, 2004 - August 2, 2004

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 109771

PITTSBURGH, PA

Past

May 3, 2004 - August 2, 2004

NEWEDGE SECURITIES, LLC

CRD#: 10674

PITTSBURGH, PA

Past

June 23, 2003 - May 4, 2004

FDX ADVISORS, INC.

RIA

CRD#: 104601

CINCINNATI, OH

Past

July 10, 1997 - May 3, 2004

LONDON PACIFIC SECURITIES, INC.

CRD#: 25089

SACRAMENTO, CA

Past

July 5, 1991 - July 15, 1997

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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.

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

Ohio
(8/3/2004)

IAR

Ohio
(8/3/2004)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/27/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/2/1991

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

GOLD COAST SECURITIES, INC.

GOLD COAST ADVISORY | GOLD COAST SECURITIES, INC.

CRD#: 110925 / SEC#: 801-60090, 8-53148

RIA

Registered Investment Advisory firm - SEC (12/10/2012 Terminated)

California

Registered Investment Advisory firm - SEC (8/23/2012 Approved)

Idaho

Registered Investment Advisory firm - SEC (9/12/2012 Approved)

Ohio

Registered Investment Advisory firm - SEC (6/26/2012 Approved)

Texas

Registered Investment Advisory firm - SEC (12/6/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

275 E. Hillcrest Drive-suite 225, Thousand Oaks, CA 91360

Mailing Address

275 E. Hillcrest Drive-suite 225, Thousand Oaks, CA 91360-8241

Phone number

(805) 496-3660

Established

Delaware since 01/17/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (28 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
HO, TAE POM	CEO/CFO/CLO/CHIEF COMPLIANCE OFFICER/DIRECTOR	2857540
TAMANO, SALLY YIP	SVP, COO, DIRECTOR	1993133

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 37,393,957

Disclosures

Regulatory Event

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Howard M. Wolfson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Michael Wolfson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Howard Michael Wolfson's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLD COAST SECURITIES, INC.

MID ATLANTIC FINANCIAL MANAGEMENT, INC.

NEWEDGE SECURITIES, LLC

FDX ADVISORS, INC.

LONDON PACIFIC SECURITIES, INC.

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 63

Date: 10/27/1998

SIE

Date: 10/1/2018

Series 6

Date: 7/2/1991

FINRA

Current Firm

GOLD COAST SECURITIES, INC.

Contact information

FINRA licenses (28 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GOLD COAST SECURITIES, INC.

TRUST BUT VERIFY

Contact information

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