William F. 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.
William Frederick Wolff III, who also goes by William F Wolff III, William F Wolff, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1971. William had worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2012 - August 8, 2018
DC ADVISORY
April 4, 2000 - March 25, 2002
UBS SECURITIES LLC
December 1, 1998 - April 10, 2000
LEHMAN BROTHERS INC.
April 27, 1984 - June 26, 1997
LEHMAN BROTHERS INC.
February 27, 1980 - September 23, 1983
MORGAN STANLEY & CO. LLC
May 16, 1978 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
December 7, 1971 - May 28, 1978
SALOMON BROTHERS INC.
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: 12/2/1971
Registered Representative ExaminationSeries 40
Date: 12/6/1976
Registered Principal ExaminationCurrent Firm
DC ADVISORY
CRD#: 129919 / SEC#: , 8-66273
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CORPORATE ADVISORY HOLDINGS INC. | SHAREHOLDER | |
| BAYER, JONATHAN LEWIS | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 5050555 |
| DONOHUE, JOSEPH THOMAS | VICE CHAIRMAN | 1630441 |
| EDMONDSON, ERIC WINSTON | VICE CHAIRMAN | 1441360 |
| KOHR, WILLIAM EDWARD | CHIEF EXECUTIVE OFFICER | 1563851 |
| PACITTO, PETER JOSEPH | CHIEF ADMINISTRATIVE OFFICER, CFO, FINOP | 1700696 |
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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