Charles J. 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.
Charles Joseph Wolf, who also goes by Charles Joseph Wolk, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1998. Charles had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2016 - May 25, 2017
FINANCIAL SECURITY MANAGEMENT, INC
January 6, 2004 - November 6, 2017
NATIONAL PLANNING CORPORATION
June 13, 2001 - November 6, 2017
NATIONAL PLANNING CORPORATION
October 1, 1998 - June 7, 2001
SECURITIES AMERICA, INC.
August 20, 1998 - October 7, 1998
OSAIC WEALTH, INC.
Primary Firm SEC Registration
FINANCIAL SECURITY MANAGEMENT, INC
CRD#: 116570 / SEC#: 801-81072
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
FINANCIAL SECURITY MANAGEMENT, INC
CRD#: 116570 / SEC#: 801-81072
Contact information
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,578 |
| AUM (Assets Under Management) | $ 556,022,719 |
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.
