Edward J. Wolf
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.
Edward Joseph Wolf JR, who also goes by Ed Joseph Wolf Jr., Ed Joseph Wolf, Edward Joseph Wolf, Edward Jospeh Wolf Jr, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1982. Edward had worked at 6 firms and has passed the Series 6 and Series 1 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, 1999 - January 2, 2001
CAPITAL ONE INVESTMENTS, LLC
January 7, 1999 - August 16, 1999
PAN-AMERICAN FINANCIAL ADVISERS
May 29, 1997 - January 7, 1999
MM ASCEND LIFE INVESTOR SERVICES, LLC
June 23, 1995 - December 31, 1996
LOCUST STREET SECURITIES, INC.
October 27, 1993 - May 5, 1995
NATIONAL PLANNING CORPORATION
July 28, 1982 - April 26, 1983
PRUCO SECURITIES, LLC.
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
Series 1
Date: 8/14/1976
Registered Representative ExaminationCurrent Firm
CAPITAL ONE INVESTMENTS, LLC
CRD#: 17526 / SEC#: , 8-35386
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE, N.A. | SOLE SHARE OWNER | |
| BARNES, DONALD JOSEPH II | MEMBER OF MANAGEMENT COMMITTEE | |
| COOPER, KEYAN MARIE | SROP/CROP | 4268042 |
| DEBLANC, RONALD JOSEPH | VP, CHIEF FINANCIAL OFFICER | 1672968 |
| DELO, DANIEL MARK | MUNICIPAL SECURITIES PRINCIPAL | 2242301 |
| EMIG, JANET CLARE | BROKERAGE OPERATIONS MANAGER | 4702727 |
| GOLDBERG, KENNETH L. | MEMBER OF MANAGEMENT COMMITTEE | 4053655 |
| LABENNE, ANDREW DENNIS | MEMBER OF MANAGEMENT COMMITTEE | 5460014 |
| LEE, DONALD PAUL | MEMBER OF MANAGEMENT COMMITTEE | 1174842 |
| MARCOTTE, BRIAN TROY | CHIEF COMPLIANCE OFFICER | 1182101 |
| TALBOT, MICHAEL MERRITT | MEMBER OF MANAGEMENT COMMITTEE/PRESIDENT & CEO | 1296293 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 4 |
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.
