Connie C. Wolf
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.
Connie Cleone Wolf, who also goes by Connie Cleone Crader, was a registered financial professional .
Connie is a previously registered financial professional and started their career in finance in 2002. Connie had worked at 8 firms and has passed the 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
August 17, 2016 - January 27, 2017
PACIFIC SELECT DISTRIBUTORS, LLC
May 10, 2011 - August 4, 2016
CUNA BROKERAGE SERVICES, INC.
October 18, 2010 - March 15, 2011
THE LEADERS GROUP, INC.
April 11, 2008 - October 30, 2009
JOHN HANCOCK DISTRIBUTORS LLC
February 21, 2007 - August 27, 2007
COREBRIDGE CAPITAL SERVICES, INC.
April 21, 2005 - October 4, 2005
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
July 6, 2004 - May 3, 2005
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 1, 2002 - July 8, 2004
HIMCO DISTRIBUTION SERVICES COMPANY
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
PACIFIC SELECT DISTRIBUTORS, LLC
CRD#: 4452 / SEC#: , 8-15264
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC LIFE INSURANCE COMPANY | PARENT OF APPLICANT | |
| DARE, BARBARA ALYCE | VICE PRESIDENT | 5074108 |
| KISSEL, GEOFFREY P | CHIEF EXECUTIVE OFFICER | 7499710 |
| LA ROQUE, SUZANNE MARIE | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4222767 |
| SMITH, TREVOR TIMOTHY | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER | 4844953 |
| YAMAUCHI, STARLA CHIN | VICE PRESIDENT, CORPORATE SECRETARY | 7721024 |
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.
