Derek M. Wolff

WOLFF FINANCIAL ADVISORS

Broomfield, CO 80021

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CRD#: 2642177

Professional summary

Derek Matthew Wolff is a registered financial advisor currently at WOLFF FINANCIAL ADVISORS, LLC located in Broomfield, Colorado.

Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Derek has worked at 6 firms and has passed the Series 65, Series 63, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Derek Matthew 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®

None

Experience

Current

March 27, 2006 - Present

WOLFF FINANCIAL ADVISORS, LLC

Office #1: 11001 West 120th Ave #400, Broomfield, CO 80021

RIA

CRD#: 135756

Broomfield, CO

Past

March 27, 2006 - December 31, 2008

WOLFF FINANCIAL ADVISORS, LLC

RIA

CRD#: 135756

BOULDER, CO

Past

August 25, 2004 - October 13, 2004

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

Past

February 24, 2003 - April 10, 2003

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

June 21, 2000 - January 25, 2002

INVESCO DISTRIBUTORS, INC.

CRD#: 289

HOUSTON, TX

Past

January 17, 1996 - February 8, 1996

RECOM SECURITIES, INC.

CRD#: 7488

ST. LOUIS PARK, MN

Past

August 21, 1995 - August 30, 1995

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(3/27/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/5/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/28/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 6/20/2000

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 8/18/1995

General Securities Representative Examination

Current Firm

WOLFF FINANCIAL ADVISORS, LLC

CRD#: 135756 / SEC#:

Arizona

Registered Investment Advisory firm - (12/9/2022 Terminated)

Colorado

Registered Investment Advisory firm - (3/27/2006 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

11001 West 120th Ave #400, Broomfield, CO 80021

Mailing Address

Phone number

(303) 353-0500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	47
AUM (Assets Under Management)	$ 12,902,500

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.

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Advisor Monitoring

Firm Stability Insights

Derek M. Wolff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Matthew Wolff's CRS (Customer Relationship Summary).

Certified licenses

Experience

WOLFF FINANCIAL ADVISORS, LLC

JANUS HENDERSON DISTRIBUTORS US LLC

NATIONAL PLANNING CORPORATION

INVESCO DISTRIBUTORS, INC.

RECOM SECURITIES, INC.

CHATFIELD DEAN & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/2005

Series 63

Date: 7/28/2000

Series 6

Date: 6/20/2000

Series 7

Date: 8/18/1995

Current Firm

WOLFF FINANCIAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WOLFF FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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