RW
Richard C. Wolff
SG AMERICAS SECURITIES
NEW YORK, NY 10167
Some features on this profile are disabled
CRD#: 2477745
RW
Professional summary
Richard Craig Wolff, who also goes by Richard Wolff, is a registered financial professional currently at SG AMERICAS SECURITIES, LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard Wolff
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Craig Wolff'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®
NoneExperience
Current
July 19, 2010 - Present
SG AMERICAS SECURITIES, LLC
Office #1: 245 Park Avenue, New York, NY 10167BD
CRD#: 128351
NEW YORK, NY
Past
April 25, 2001 - April 15, 2010
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
April 24, 2000 - May 17, 2001
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
March 25, 1998 - May 12, 2000
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
April 12, 1994 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
BD
CRD#: 7242
Past
April 12, 1994 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
BD
CRD#: 19655
Past
April 12, 1994 - March 9, 1998
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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
Alabama(2/23/2018)
RR
Alaska(2/23/2018)
RR
Arizona(2/23/2018)
RR
Arkansas(2/23/2018)
RR
California(2/23/2018)
RR
Colorado(2/23/2018)
RR
Connecticut(2/23/2018)
RR
Delaware(2/23/2018)
RR
District of Columbia(2/23/2018)
RR
Florida(2/23/2018)
RR
Georgia(2/23/2018)
RR
Hawaii(2/23/2018)
RR
Idaho(2/23/2018)
RR
Illinois(2/23/2018)
RR
Indiana(2/23/2018)
RR
Iowa(2/23/2018)
RR
Kansas(2/23/2018)
RR
Kentucky(2/23/2018)
RR
Louisiana(2/23/2018)
RR
Maine(2/23/2018)
RR
Maryland(2/23/2018)
RR
Massachusetts(2/23/2018)
RR
Michigan(2/23/2018)
RR
Minnesota(2/23/2018)
RR
Mississippi(2/23/2018)
RR
Missouri(2/23/2018)
RR
Montana(2/23/2018)
RR
Nebraska(2/23/2018)
RR
Nevada(2/23/2018)
RR
New Hampshire(2/23/2018)
RR
New Jersey(2/23/2018)
RR
New Mexico(2/23/2018)
RR
New York(7/19/2010)
RR
North Carolina(2/23/2018)
RR
North Dakota(2/23/2018)
RR
Ohio(2/23/2018)
RR
Oklahoma(2/23/2018)
RR
Oregon(2/23/2018)
RR
Pennsylvania(2/23/2018)
RR
Puerto Rico(2/23/2018)
RR
Rhode Island(2/23/2018)
RR
South Carolina(2/23/2018)
RR
South Dakota(2/23/2018)
RR
Tennessee(2/23/2018)
RR
Texas(2/23/2018)
RR
Utah(2/23/2018)
RR
Vermont(2/23/2018)
RR
Virginia(2/23/2018)
RR
Washington(2/23/2018)
RR
West Virginia(2/23/2018)
RR
Wisconsin(2/23/2018)
RR
Wyoming(2/23/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
SG AMERICAS SECURITIES, LLC
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
245 Park Avenue, New York, NY 10167
Mailing Address
245 Park Avenue, New York, NY 10167
Phone number
(212) 278-6000
Established
Delaware since 08/08/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CO - CHIEF EXECUTIVE OFFICER | 6390499 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| VAN HAUWERMEIREN, GUIDO MARIA | CO - CHIEF EXECUTIVE OFFICER | 5974025 |
| WALSH, MICHAEL PATRICK | PRINCIPAL OPERATIONS OFFICER | 1060871 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
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.
