Robert T. Wolff
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.
Robert Thomas Wolff, who also goes by Robert,rob,robb Thomas Wolff, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1995. Robert had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
September 22, 2015 - November 9, 2018
BROOKSTONE WEALTH ADVISORS, LLC
March 5, 2013 - December 31, 2013
ON INVESTMENT MANAGEMENT CO
September 1, 2010 - March 7, 2011
ON INVESTMENT MANAGEMENT CO
May 8, 2002 - March 9, 2009
MORGAN ROBERTS ADVISORY INC.
June 19, 2001 - September 28, 2015
THE O.N. EQUITY SALES COMPANY
May 19, 1997 - June 28, 2001
OSAIC WEALTH, INC.
October 8, 1996 - May 20, 1997
DAVENPORT-DUKES FINANCIAL SERVICES, INC.
June 5, 1995 - October 1, 1996
WALNUT STREET SECURITIES, INC.
Primary Firm SEC Registration
BROOKSTONE WEALTH ADVISORS, LLC
CRD#: 137658 / SEC#: 801-67628
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
BROOKSTONE WEALTH ADVISORS, LLC
CRD#: 137658 / SEC#: 801-67628
Contact information
SEC notice filing (52 States and Territories)
Documents
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.
