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MW

Martin D. Wolf

MARTINWOLF
Scottsdale, AZ 85254
Some features on this profile are disabled
CRD#: 3270463
MW

Professional summary

Martin Douglas Wolf is a registered financial professional currently at MARTINWOLF located in Scottsdale, Arizona.

Martin is registered as a RR (Registered Representative) and started their career in finance in 2000. Martin has worked at 1 firm and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Martin Douglas Wolf'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

February 11, 2000 - Present

MARTINWOLF

Office #1: 7000 E Shea Blvd Suite E130, Scottsdale, AZ 85254Office #2: 7000 E Shea Blvd Suite E130, Scottsdale, AZ 85254
BD
CRD#: 47936
Scottsdale, AZ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(6/4/2018)
RR
California
(10/25/2018)
RR
New York
(10/25/2018)
RR
Washington
(12/8/2022)
RR
Wyoming
(9/21/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 6/4/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/9/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MA
MARTINWOLF
LILLIAN CAPITAL LLC | MARTINWOLF | MARTIN WOLF SECURITIES, LLC | MARTIN WOLF | LILLIAN SECURITIES LLC

CRD#: 47936 / SEC#: , 8-51965

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
7000 E Shea Blvd Suite E130, Scottsdale, AZ 85254
Mailing Address
7000 E Shea Blvd Suite E130, Scottsdale, AZ 85254
Phone number
(925) 355-0110
Established
Arizona since 02/07/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MARTIN WOLF ASSOCIATES, INC.SOLE OWNER
POSTREL, HELENE BERSONFINOP, CFO
WOLF, MARTIN DOUGLASCHIEF COMPLIANCE OFFICER

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.

Company Information

MARTINWOLF

CRD#: 47936Scottsdale, AZ 85254

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