Ross J. Wolfe
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.
Ross J Wolfe, who also goes by Merahs Diab, R.j. Wolfe, Ross Joseph Wolfe, was a registered financial professional .
Ross is a previously registered financial professional and started their career in finance in 2000. Ross had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 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
October 13, 2015 - April 27, 2016
CONCORDE ASSET MANAGEMENT, LLC
September 15, 2015 - April 27, 2016
CONCORDE INVESTMENT SERVICES, LLC
July 17, 2015 - September 16, 2015
TLG ADVISORS, INC.
July 1, 2015 - September 16, 2015
THE LEADERS GROUP, INC.
August 23, 2011 - November 20, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 11, 2011 - November 20, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 19, 2000 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
October 19, 2000 - January 21, 2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367 / SEC#: 801-74519
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
CONCORDE ASSET MANAGEMENT, LLC
CRD#: 140367 / SEC#: 801-74519
Contact information
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,207 |
| AUM (Assets Under Management) | $ 489,858,232 |
Red Flags
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