William Frederick Wolff Iii
Professional Summary
William Frederick Wolff III, who also goes by William F Wolff III, William F Wolff, was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1971 - 2018. William had worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 1 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
William F Wolff Iii, William F Wolff
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
54 years in the financial services industry
Current & Past Employments
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Current Firm
DAIWA CORPORATE ADVISORY LLC | SAGENT ADVISORS, LLC | SAGENT ADVISORS, INC. | SAGENT ADVISORS INC. | DCS ADVISORY LLC | DC ADVISORY US | DC ADVISORY
Contact Information
Main Address
605 Third Avenue 11th Floor, New York, NY 10158Mailing Address
605 Third Avenue 11th Floor, New York, NY 10158Phone Number
(212) 904-9400Established
Delaware since 04/01/2012Firm Type
Limited Liability CompanyFiscal Year End
MarchFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Mar 2012About the Series 79 examSeries 1 — Registered Representative Examination
Passed Dec 1971Series 40 — Registered Principal Examination
Passed Dec 1976Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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