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Kenneth Edward Masick

CRD# 2823684·Registered 1996 - 2012
Previously Registered: Being a previously registered professional could mean that Kenneth 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.

Professional Summary

Kenneth Edward Masick was a registered financial advisor. Kenneth was a previously registered financial professional and started their career in finance 1996 - 2012. Kenneth had worked at 3 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

29 years in the financial services industry

Current & Past Employments

WOLF CAPITAL LLC·CRD# 114384
BD
Oak Brook, IL
January 9, 2002 - February 15, 2012
WOLF FINANCIAL MANAGEMENT, LLC·CRD# 44225
BD
Oakbrook Terrace, IL
November 3, 1998 - May 30, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.·CRD# 6694
BD
St. Petersburg, FL
March 12, 1998 - June 3, 1998
RAYMOND JAMES FINANCIAL SERVICES, INC.·CRD# 6694
BD
St. Petersburg, FL
December 24, 1996 - December 31, 1997

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Current Firm

WC
WOLF CAPITAL LLC

WOLF CAPITAL LLC

CRD#: 114384 / SEC#: 8-53424
BD
Terminated by SEC on 04/15/2012

Contact Information

Established

Illinois since 08/31/2000

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
WOLF FINANCIAL GROUP HOLDINGS, LLCSOLE MEMBER—
LUTZ, STEVEN FRANKLINPRINCIPAL2823182
MASICK, KENNETH EDWARDFINOP2823684
PEPPLE, DARRELL MASONCHIEF COMPLIANCE OFFICER1576901

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1997About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1996About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 1999About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Jan 1999About the Series 27 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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