Barry 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.
Barry Leon Wolfe was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1973. Barry had worked at 10 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2010 - November 13, 2012
VOYA FINANCIAL ADVISORS, INC.
January 28, 1993 - February 22, 2008
INTERLINK SECURITIES CORP.
January 13, 1992 - September 14, 1993
ROBERT SCOTT SECURITIES, INC.
October 3, 1990 - January 20, 1992
TITAN/VALUE EQUITIES GROUP, INC.
June 16, 1988 - October 24, 1990
PROGRAMMED EQUITIES CORPORATION
May 28, 1986 - June 30, 1988
PLANNED INVESTMENTS INC.
July 17, 1985 - August 23, 1985
SOURCE SECURITIES, INC.
December 28, 1981 - April 15, 1985
LINCOLN NATIONAL PENSION INSURANCE COMPANY
July 21, 1975 - April 15, 1985
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 21, 1975 - April 15, 1985
OSAIC FA, INC.
March 22, 1973 - May 1, 1975
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 22, 1973 - May 1, 1975
OSAIC FA, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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: 3/19/1973
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
