David M. Wolf
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Matthew Wolf was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 9 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2008 - April 12, 2013
GOLDMAN, LASS SECURITIES
June 3, 2004 - May 5, 2006
ALLIANZ LIFE FINANCIAL SERVICES, LLC
June 29, 2001 - March 3, 2004
DIRECTED SERVICES LLC
June 30, 2000 - September 6, 2000
ING FUNDS DISTRIBUTOR, INC.
March 15, 2000 - March 2, 2001
DIRECTED SERVICES LLC
August 18, 1997 - February 10, 2000
ALLIANCEBERNSTEIN INVESTMENTS, INC.
February 1, 1995 - September 5, 1996
FISERV INVESTOR SERVICES, INC.
May 6, 1994 - February 1, 1995
CAPITAL BROKERAGE CORPORATION
April 13, 1993 - May 5, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 13, 1993 - May 5, 1994
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GOLDMAN, LASS SECURITIES
CRD#: 2029 / SEC#: , 8-30544
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LASS, BARRY SHELDON | PRESIDENT, CHIEF COMPLIANCE OFFICER | 303177 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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