James S. Wolf

WOLF FINANCIAL ADVISORS LLC

Pekin, IL 61554

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CRD#: 4604322

Professional summary

James S. Wolf, who also goes by James Stephen Wolf, is a registered financial advisor currently at WOLF FINANCIAL ADVISORS LLC located in Pekin, Illinois.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. James has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Stephen Wolf

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) - RIA

Click below to view James S. Wolf's CRS (Customer Relationship Summary).

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

July 16, 2008 - Present

WOLF FINANCIAL ADVISORS LLC

Office #1: 2930 Court Street, Pekin, IL 61554

RIA

CRD#: 146080

Pekin, IL

Past

December 20, 2002 - December 31, 2002

TESAR FINANCIAL, LLC

RIA

CRD#: 124019

PEKIN, IL

Past

April 20, 2000 - December 31, 2007

TESAR FINANCIAL, LLC

RIA

CRD#: 124019

SAINT CHARLES, MO

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".

WOLF FINANCIAL ADVISORS LLC

CRD#: 146080 / SEC#: 801-132494

RIA

Registered Investment Advisory firm - (4/21/2025 Approved)

Illinois

Registered Investment Advisory firm - (6/2/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/2/2025 Terminated)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(7/16/2008)

IAR

Texas
(6/29/2023)

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 65

Date: 12/20/1999

Uniform Investment Adviser Law Examination

Current Firm

WOLF FINANCIAL ADVISORS LLC

CRD#: 146080 / SEC#: 801-132494

RIA

Registered Investment Advisory firm - (4/21/2025 Approved)

Illinois

Registered Investment Advisory firm - (6/2/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/2/2025 Terminated)

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Contact information

Main Address

2930 Court Street, Pekin, IL 61554

Mailing Address

Phone number

(309) 346-1106

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WOLF FINANCIAL ADVISORS LLC ADV PART 2A/PART 2B BROCHURE (9/3/2025)

Regulatory assets under management

Total Number of Accounts	330
AUM (Assets Under Management)	$ 111,497,022

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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James S. Wolf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James S. Wolf's CRS (Customer Relationship Summary).

Certified licenses

Experience

WOLF FINANCIAL ADVISORS LLC

TESAR FINANCIAL, LLC

TESAR FINANCIAL, LLC

Primary Firm SEC Registration

WOLF FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/1999

Current Firm

WOLF FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WOLF FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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