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SW

Steven J. Woolf

SAMMONS FINANCIAL NETWORK
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 2296379
SW

Professional summary

Steven Jay Woolf, CFP®, who also goes by Steve Woolf, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Woolf

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) - BD

Click below to view Steven Jay Woolf'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®
CFP®

Certified Financial Planner

Experience

Current

February 24, 2020 - Present

SAMMONS FINANCIAL NETWORK, LLC

Office #1: 8300 Mills Civic Parkway, West Des Moines, IA 50266
BD
CRD#: 158538
West Des Moines, IA
Past

March 26, 2019 - February 10, 2020

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

November 12, 2010 - April 13, 2018

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
DENVER, CO
Past

March 19, 2008 - November 15, 2010

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

December 24, 1998 - July 23, 2001

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

December 24, 1998 - July 23, 2001

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

November 4, 1997 - November 18, 1998

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

November 4, 1997 - November 18, 1998

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

December 18, 1996 - July 18, 1997

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN
Past

November 1, 1996 - December 13, 1996

FORESTERS EQUITY SERVICES, INC.

BD
CRD#: 18464
SAN DIEGO, CA
Past

July 26, 1995 - October 17, 1996

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN
Past

February 26, 1994 - July 28, 1995

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

January 4, 1993 - November 12, 1993

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
District of Columbia
(2/25/2020)
RR
Maryland
(2/25/2020)
RR
North Carolina
(2/24/2020)
RR
South Carolina
(2/24/2020)
RR
Virginia
(2/24/2020)
RR
West Virginia
(2/24/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 12/31/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/13/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/11/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/18/2008
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SF
SAMMONS FINANCIAL NETWORK, LLC
SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538 / SEC#: , 8-68905

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
8300 Mills Civic Parkway, West Des Moines, IA 50266
Mailing Address
8300 Mills Civic Parkway, West Des Moines, IA 50266
Phone number
(855) 624-0180
Established
Delaware since 06/09/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SAMMONS SECURITIES, INC.MANAGING MEMBER/ELECTED MANAGER
DYKHUIS, ARLEN GLENNFINOP PRINCIPAL5285074
LOWE, BILL LEOPRESIDENT2328135
SURETTE, STEPHANIE ANNCHIEF COMPLIANCE OFFICER5217627

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

SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538West Des Moines, IA 50266

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