Frank M. Wolf
Professional summary
Frank Matthew Wolf IV, who also goes by Frank Matthew IV Wolf, is a registered financial professional currently at SECURITIES MANAGEMENT & RESEARCH, INC. located in Gibsonia, Pennsylvania.
Frank is registered as a RR (Registered Representative) and started their career in finance in 1994. Frank has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frank Matthew Wolf IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 9, 2018 - Present
SECURITIES MANAGEMENT & RESEARCH, INC.
January 9, 2018 - December 3, 2018
BFC PLANNING, INC.
September 14, 2006 - January 10, 2018
STIFEL INDEPENDENT ADVISORS, LLC
December 4, 2001 - January 10, 2018
STIFEL INDEPENDENT ADVISORS, LLC
January 4, 1999 - November 28, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 28, 1994 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/9/2018)
(1/9/2018)
(7/6/2020)
(1/9/2018)
(6/6/2024)
Exams
FINRA
Current Firm
SECURITIES MANAGEMENT & RESEARCH, INC.
CRD#: 759 / SEC#: 801-8002, 8-12745
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ONE FINANCIAL, INC. | PARENT | |
| BERTHEL, THOMAS JOSEPH | CHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT | 823289 |
| CHAPMAN, KIMBERLY KAREN EARLY | CHIEF COMPLIANCE OFFICER | 2527036 |
| CHRISTOFFERSON, ANDREW JAMES | CHIEF EXECUTIVE OFFICER/PRESIDENT | 3248381 |
| DAVENPORT, SHELLEY RAE | VICE PRESIDENT LEGAL & REGULATORY MATTERS | 2131376 |
| HOHN, JAMES RALPH | VICE PRESIDENT/TECHNOLOGY | 5413776 |
| MEEHAN, DANIEL GERARD | VICE PRESIDENT RECRUITING | 2264556 |
| MURPHY, RICHARD MAURICE | EXECUTIVE VICE PRESIDENT | 4893748 |
| NOETHEN, BRITTANY MICHELLE | CHIEF TECHNOLOGY OFFICER | 2610543 |
| RUPP, BRIAN MICHAEL | CHIEF FINANCIAL OFFICER/TREASURER | 6721718 |
| SCHAUL, JOANNA MARIE | CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 4947759 |
| WILCOX, RANDY AUSTIN | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | 4346998 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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