Richard L. 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.
Richard Louis Wolfe, who also goes by Rich Wolfe, Richard L Wolfe, Rick Wolfe, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2003. Richard had worked at 11 firms and has passed the Series 63, Series 65, SIE 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
September 14, 2020 - December 7, 2023
INTEGRITY INVESTORS, L.L.C.
January 8, 2016 - September 3, 2020
CREATIVE FINANCIAL DESIGNS, INC.
January 6, 2016 - September 3, 2020
CFD INVESTMENTS, INC.
August 14, 2015 - December 31, 2015
ON INVESTMENT MANAGEMENT CO
August 3, 2015 - December 31, 2015
THE O.N. EQUITY SALES COMPANY
April 22, 2014 - June 25, 2015
ONEAMERICA SECURITIES, INC.
April 17, 2014 - June 25, 2015
ONEAMERICA SECURITIES, INC.
February 11, 2013 - March 10, 2014
W&S BROKERAGE SERVICES, INC.
June 30, 2011 - January 7, 2013
NEW ENGLAND SECURITIES
April 29, 2011 - January 7, 2013
NEW ENGLAND SECURITIES
June 19, 2009 - May 16, 2011
ASPEN FINANCIAL MANAGEMENT, INC.
March 23, 2005 - January 13, 2006
FBL MARKETING SERVICES, LLC
May 12, 2003 - March 22, 2005
STATE FARM VP MANAGEMENT CORP.
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
INTEGRITY INVESTORS, L.L.C.
CRD#: 119272 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 490 |
| AUM (Assets Under Management) | $ 47,869,663 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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