ANDREW J. WOLFGANG

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CRD#: 4391823

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.

ANDREW J. WOLFGANG was a registered financial professional .

ANDREW is a previously registered financial professional and started their career in finance in 2001. ANDREW had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Biography

Andy is the Chief Training and Quality Officer and a Partner based in upstate New York. Andy leads the firm’s training efforts, overseeing Cerity Partners University. He also helps to guide Cerity Partners’ client standards, and the quality of services provided to clients. Andy is a member of the firm’s Executive Committee.

Prior to joining Cerity Partners, Andy was a Vice President at Goldman Sachs, overseeing an advisory business providing financial counseling and support to corporate employees and their families. Prior to this role, Andy lead the team responsible for the training and development of associates at Ayco, focused on all aspects of financial planning and wealth management. Andy began his career at Ayco as a financial advisor working with high net worth individuals.

Question & Answer

Are you a "fiduciary"?

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)

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

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

Education

SUNY Albany

B.A. - Anthropology

SUNY Albany

Experience

Past

January 4, 2021 - October 18, 2022

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

COHOES, NY

Past

January 4, 2021 - October 18, 2022

GOLDMAN SACHS & CO. LLC

CRD#: 361

COHOES, NY

Past

November 10, 2020 - October 18, 2022

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

COHOES, NY

Past

August 7, 2001 - January 5, 2021

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

COHOES, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/6/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/10/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/3/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/17/2007

General Securities Principal Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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.

Contact information

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ANDREW J. WOLFGANG

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Education

SUNY Albany

SUNY Albany

Experience

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 11/6/2020

Series 63

Date: 9/10/2001

SIE

Date: 10/1/2018

Series 7

Date: 8/3/2001

Series 24

Date: 4/17/2007

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

Contact information

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