Steven Jay Woolf
CFP®Professional Summary
Steven Jay Woolf, CFP®, who also goes by Steve Woolf, is a registered financial advisor currently at SAMMONS FINANCIAL NETWORK, LLC located in West Des Moines, Iowa. Steven is registered as a RR (Registered Representative) and started their career in finance in 1993. Steven has worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Steve Woolf
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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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PRINCIPAL SECURITIES, INC.
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.
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Credentials
Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
SAMMONS FINANCIAL NETWORK, LLC
Contact Information
Main Address
8300 Mills Civic Parkway, West Des Moines, IA 50266Mailing Address
8300 Mills Civic Parkway, West Des Moines, IA 50266Phone Number
(855) 624-0180Established
Delaware since 06/09/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 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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PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
(2/24/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2008About the Series 6 examSRO Registrations
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PRINCIPAL SECURITIES, INC.
CRS (Client Relationship Summary) - BD
Click below to view Steven Jay Woolf's CRS (Customer Relationship Summary).
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PRINCIPAL SECURITIES, INC.