Richard C. Wolff
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 Carl Wolff was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1963. Richard had worked at 6 firms and has passed the Series 63 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
November 28, 2000 - October 14, 2002
USALLIANZ SECURITIES, INC.
August 22, 1987 - October 15, 1999
WOODBURY FINANCIAL SERVICES, INC.
March 14, 1984 - June 9, 1987
OLD SLIP CAPITAL MANAGEMENT, INC.
October 21, 1982 - December 20, 1985
WOODBURY FINANCIAL SERVICES, INC.
September 26, 1979 - September 1, 1980
SECURITIES MANAGEMENT & RESEARCH, INC.
March 8, 1977 - November 29, 1979
OLD SLIP CAPITAL MANAGEMENT, INC.
May 23, 1973 - March 8, 1977
CNA INVESTOR SERVICES, INC.
April 16, 1963 - February 16, 1973
MELVIN GORDON COMPANY
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: 9/11/1961
Registered Representative ExaminationCurrent Firm
USALLIANZ SECURITIES, INC.
CRD#: 40875 / SEC#: , 8-49216
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | SHAREHOLDER | |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER, COMPLIANCE REGISTERED OPTIONS PRINCIPAL | |
| INGERSOLL, THADDEUS WINTHROP III | COMPLIANCE MANAGER, SENIOR REGISTERED OPTIONS PRINCIPAL | 2616975 |
| JORGENSEN, MICHAEL JAMES | PRESIDENT | 2676329 |
| REITAN, EMILY SUZANNE | CHIEF FINANCIAL OFFICER & TREASURER | 5209812 |
| VITIELLO, VINCENT GERARD | CHAIRMAN OF THE BOARD | 1059845 |
Disclosures
| Regulatory Event | 3 |
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.
