John P. Talbot

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CRD#: 442090

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.

John Parker Talbot was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1967. John had worked at 3 firms and has passed the Series 63 and Series 40 exams.

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

Experience

Past

July 11, 1974 - January 3, 2014

WULFF, HANSEN & CO.

CRD#: 908

LODI, CA

Past

October 5, 1973 - July 10, 1974

ROBERTS, SCOTT & CO., INC.

CRD#: 720

Past

January 23, 1967 - September 25, 1975

FIRST CALIFORNIA COMPANY, INCORPORATED

CRD#: 301

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".

WULFF, HANSEN & CO.

WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.

CRD#: 908 / SEC#: 801-126111, 8-292

RIA

Registered Investment Advisory firm - SEC (7/15/2022 Approved)

California

Registered Investment Advisory firm - SEC (8/17/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/18/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Series 63

Date: 3/4/1981

Uniform Securities Agent State Law Examination

Principal/Supervisory Exam

Series 40

Date: 5/2/1974

Registered Principal Examination

Current Firm

WULFF, HANSEN & CO.

WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.

CRD#: 908 / SEC#: 801-126111, 8-292

RIA

Registered Investment Advisory firm - SEC (7/15/2022 Approved)

California

Registered Investment Advisory firm - SEC (8/17/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/18/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

100 Smith Ranch Road, Suite 330 Suite 330, San Rafael, CA 94903

Mailing Address

100 Smith Ranch Road, Suite 330, San Rafael, CA 94903

Phone number

(415) 421-8900

Established

California since 12/28/1931

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WULFF CAPITAL MANAGEMENT (3/26/2025)

Direct owners and executive officers

Name	Position	CRD#
CHARLES, CHRISTOPHER DONALD	PRESIDENT, CCO CHIEF COMPLIANCE OFFICER	709131
PANKRATZ, ROBERT JOHN	MUNICIPAL ADVISOR REPRESENTATIVE, DIRECTOR OF OPERATIONS, VICE PRESIDENT	6911222
STEINKAMP, DENNIS HENRY	SENIOR VICE PRESIDENT	1356304
TU, KIM B	CFO/POO FOR REGULATORY PURPOSES ONLY	2047262

Regulatory assets under management

Total Number of Accounts	138
AUM (Assets Under Management)	$ 132,528,477

Disclosures

Regulatory Event	4
Bond	1

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.

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John P. Talbot

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WULFF, HANSEN & CO.

ROBERTS, SCOTT & CO., INC.

FIRST CALIFORNIA COMPANY, INCORPORATED

Primary Firm SEC Registration

WULFF, HANSEN & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/4/1981

Series 40

Date: 5/2/1974

Current Firm

WULFF, HANSEN & CO.

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WULFF, HANSEN & CO.

TRUST BUT VERIFY

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