Larry C. Wolfe

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CRD#: 502361

Professional summary

Larry Charles Wolfe was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Larry is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, Larry had worked at 11 firms, which includes STOEVER GLASS & COMPANY INC., AEGIS CAPITAL CORP., HERBERT J. SIMS & CO INC., GMS GROUP, RAYMOND JAMES & ASSOCIATES INC., LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, DREXEL BURNHAM LAMBERT INCORPORATED, BEVILL BRESLER & SCHULMAN INCORPORATED, HANAUER STERN & COMPANYINCORPORATED, SWANTON SECURITIES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Larry C Wolfe | Larry Wolfe | Larry Charles Wolfinger | Larry Wolfinger

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 2, 2016 - June 22, 2017

STOEVER, GLASS & COMPANY INC.

CRD#: 7031

Boca Raton, FL

Past

February 2, 2016 - March 9, 2016

AEGIS CAPITAL CORP.

CRD#: 15007

BOCA RATON, FL

Past

March 8, 2000 - January 6, 2016

HERBERT J. SIMS & CO, INC.

CRD#: 3420

BOCA RATON, FL

Past

February 8, 1991 - February 17, 2000

GMS GROUP

CRD#: 8000

EAST HANOVER, NJ

Past

June 27, 1990 - February 21, 1991

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

April 11, 1988 - July 6, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 4, 1987 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

May 16, 1985 - May 12, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

January 6, 1982 - April 10, 1985

BEVILL, BRESLER & SCHULMAN INCORPORATED

CRD#: 6971

Past

August 23, 1979 - May 9, 1981

HANAUER, STERN & COMPANY,INCORPORATED

CRD#: 7077

Past

March 3, 1978 - August 23, 1979

SWANTON SECURITIES, INC.

CRD#: 5823

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 8/5/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/22/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/28/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/22/1980

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 8/18/1979

Municipal Securities Representative Examination

Current Firm

STOEVER, GLASS & COMPANY INC.

STOEVER, GLASS & COMPANY INC. | STOEVER,GLASS & COMPANY INC.

CRD#: 7031 / SEC#: , 8-19273

Terminated by SEC on 07/30/2025

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 05/05/1964

Firm type

Corporation

Fiscal year end

May

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
STOEVER GLASS HOLDING COMPANY, INC.	OWNER
CARRIGG, MICHAEL FRANCIS	CEO	1061325
CARRIGG, MICHAEL FRANCIS	PRINCIPAL FINANCIAL OFFICER	1061325
MORGAN, JOHN BLACK	CCO	339962

Disclosures

Regulatory Event	17
Arbitration	3
Financial	1

Red Flags

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Firm Stability Insights

Larry C. Wolfe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AEGIS CAPITAL CORP.

HERBERT J. SIMS & CO, INC.

GMS GROUP

RAYMOND JAMES & ASSOCIATES, INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

DREXEL BURNHAM LAMBERT INCORPORATED

BEVILL, BRESLER & SCHULMAN INCORPORATED

HANAUER, STERN & COMPANY,INCORPORATED

SWANTON SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/5/1981

SIE

Date: 6/22/2017

Series 3

Date: 8/28/1987

Series 7

Date: 9/22/1980

Series 52

Date: 8/18/1979

Current Firm

STOEVER, GLASS & COMPANY INC.

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STOEVER, GLASS & COMPANY INC.

TRUST BUT VERIFY

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