Janet A. Wulf

ALLY INVEST ADVISORS

Sumner, IA

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CRD#: 4650810

Professional summary

Janet Ann Wulf, who also goes by Janet Ann Northrop, Janet Ann Rochford, is a registered financial advisor currently at ALLY INVEST ADVISORS located in Sumner, Iowa and ALLY INVEST SECURITIES LLC located in Charlotte, North Carolina.

Janet is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Janet has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Janet Ann Northrop | Janet Ann Rochford

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.

Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Sr. Analyst BL Reg Controls. Dually licensed. 11/30/2021. 0-20hrs/month. Assist with compliance oversight of some Ally Invest Advisors processes.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Janet Ann Wulf'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

November 30, 2021 - Present

ALLY INVEST ADVISORS

RIA

CRD#: 170301

Sumner, IA

Current

June 23, 2021 - Present

ALLY INVEST SECURITIES LLC

Office #1: 601 S. Tryon St. Suite 100, Charlotte, NC 28202

CRD#: 136131

Charlotte, NC

Past

October 18, 2016 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

SUMNER, IA

Past

October 18, 2016 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CEDAR FALLS, IA

Past

June 30, 2016 - September 26, 2016

ACCEL WEALTH MANAGEMENT

RIA

CRD#: 284214

CEDAR FALLS, IA

Past

February 16, 2010 - September 30, 2016

RDA FINANCIAL NETWORK

RIA

CRD#: 147309

CEDAR FALLS, IA

Past

February 12, 2010 - October 3, 2016

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

CEDAR FALLS, IA

Past

June 9, 2009 - March 29, 2012

NET WORTH ADVISORS

RIA

CRD#: 107596

WATERLOO, IA

Past

June 2, 2009 - March 3, 2010

ADVANTAGE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 146236

WATERLOO, IA

Past

May 7, 2009 - February 12, 2010

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

WATERLOO, IA

Past

May 7, 2009 - February 12, 2010

NATIONAL PLANNING CORPORATION

CRD#: 29604

WATERLOO, IA

Past

December 5, 2006 - October 20, 2008

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

CEDAR FALLS, IA

Past

May 8, 2003 - October 20, 2008

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

CEDAR FALLS, IA

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".

ALLY INVEST ADVISORS

CRD#: 170301 / SEC#: 801-79305

RIA

Registered Investment Advisory firm - (3/27/2014 Approved)

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.

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

Iowa
(6/23/2021)

IAR

Iowa
(11/30/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/4/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/25/2003

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: 5/6/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/14/2022

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/31/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALLY INVEST ADVISORS

CRD#: 170301 / SEC#: 801-79305

RIA

Registered Investment Advisory firm - (3/27/2014 Approved)

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Contact information

Main Address

601 S. Tryon Street Suite 100, Charlotte, NC 28202

Mailing Address

Phone number

(855) 880-2559

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLY INVEST ADVISORS FORM ADV PART 2A (8/4/2025)

Regulatory assets under management

Total Number of Accounts	76,058
AUM (Assets Under Management)	$ 1,389,572,606

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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Firm Stability Insights

Janet A. Wulf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Janet Ann Wulf's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLY INVEST SECURITIES LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

ACCEL WEALTH MANAGEMENT

RDA FINANCIAL NETWORK

CAMBRIDGE INVESTMENT RESEARCH, INC.

NET WORTH ADVISORS

ADVANTAGE INVESTMENT MANAGEMENT, LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

ALLY INVEST ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 12/4/2006

Series 63

Date: 6/25/2003

SIE

Date: 10/1/2018

Series 7

Date: 5/6/2003

Series 4

Date: 2/14/2022

Series 24

Date: 3/31/2005

FINRA

Current Firm

ALLY INVEST ADVISORS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLY INVEST ADVISORS

TRUST BUT VERIFY

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