BW
Brock J. Wolf
TRUIST SECURITIES
NEW YORK, NY 10001
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CRD#: 4569661
BW
Professional summary
Brock Jacob Wolf is a registered financial professional currently at TRUIST SECURITIES, INC. located in New York, New York.
Brock is registered as a RR (Registered Representative) and started their career in finance in 2002. Brock has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Brock Jacob 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®
NoneExperience
Current
November 11, 2019 - Present
TRUIST SECURITIES, INC.
Office #1: 50 Hudson Yards Fl 69 & 70, New York, NY 10001BD
CRD#: 6271
NEW YORK, NY
Past
January 29, 2013 - November 7, 2019
NATIXIS SECURITIES AMERICAS LLC
BD
CRD#: 1101
NEW YORK, NY
Past
July 2, 2009 - March 24, 2011
NEWOAK CAPITAL MARKETS LLC
BD
CRD#: 104063
NEW YORK, NY
Past
March 29, 2006 - May 28, 2008
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
September 26, 2002 - March 22, 2006
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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
Alabama(11/11/2019)
RR
Alaska(11/11/2019)
RR
Arizona(11/11/2019)
RR
Arkansas(11/11/2019)
RR
California(11/11/2019)
RR
Colorado(11/11/2019)
RR
Connecticut(11/11/2019)
RR
Delaware(11/11/2019)
RR
District of Columbia(11/11/2019)
RR
Florida(11/11/2019)
RR
Georgia(11/11/2019)
RR
Hawaii(11/11/2019)
RR
Idaho(11/11/2019)
RR
Illinois(11/11/2019)
RR
Indiana(11/11/2019)
RR
Iowa(11/11/2019)
RR
Kansas(11/11/2019)
RR
Kentucky(11/11/2019)
RR
Louisiana(11/11/2019)
RR
Maine(11/11/2019)
RR
Maryland(11/11/2019)
RR
Massachusetts(11/11/2019)
RR
Michigan(11/11/2019)
RR
Minnesota(11/11/2019)
RR
Mississippi(11/11/2019)
RR
Missouri(11/11/2019)
RR
Montana(11/11/2019)
RR
Nebraska(11/11/2019)
RR
Nevada(11/11/2019)
RR
New Hampshire(11/11/2019)
RR
New Jersey(11/11/2019)
RR
New Mexico(11/11/2019)
RR
New York(11/11/2019)
RR
North Carolina(11/11/2019)
RR
North Dakota(11/11/2019)
RR
Ohio(11/11/2019)
RR
Oklahoma(11/11/2019)
RR
Oregon(11/11/2019)
RR
Pennsylvania(11/11/2019)
RR
Puerto Rico(11/11/2019)
RR
Rhode Island(11/11/2019)
RR
South Carolina(11/11/2019)
RR
South Dakota(11/11/2019)
RR
Tennessee(11/11/2019)
RR
Texas(11/11/2019)
RR
Utah(11/11/2019)
RR
Vermont(11/11/2019)
RR
Virginia(11/11/2019)
RR
Washington(11/11/2019)
RR
West Virginia(11/11/2019)
RR
Wisconsin(11/11/2019)
RR
Wyoming(11/11/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
TS
TRUIST SECURITIES, INC.
ALEXANDER KEY INVESTMENTS | TRUIST SECURITIES, INC. | SUNTRUST ROBINSON HUMPHREY, INC. | SUNTRUST ROBINSON HUMPHREY | SUNTRUST EQUITABLE SECURITIES CORPORATION | SUNTRUST EQUITABLE SECURITIES | SUNTRUST CAPITAL MARKETS, INC. | SUNTRUST CAPITAL MANAGEMENT, INC. | EQUITABLE SECURITIES CORPORATION
CRD#: 6271 / SEC#: , 8-17212
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
740 Battery Ave, Atlanta, GA 30339
Mailing Address
740 Battery Ave, Atlanta, GA 30339
Phone number
(404) 926-5600
Established
Tennessee since 07/01/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 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.
