William 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.
William Wolfe, who also goes by William H Wolfe, William H. Wolfe III, William Hubbard Wolfe III, Willliam Hubbard Wolfe, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2008. William had worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2023 - May 12, 2026
STRATCAP SECURITIES, LLC
September 6, 2022 - June 1, 2023
PREP SECURITIES, LLC
October 12, 2021 - September 9, 2022
PHARE CAPITAL WEALTH MANAGEMENT
July 6, 2017 - April 8, 2020
TORTOISEECOFIN SECURITIES, LLC
November 18, 2016 - April 8, 2020
TORTOISEECOFIN INVESTMENTS PARTNERS, LLC
July 21, 2014 - November 18, 2016
MONTAGE INVESTMENTS, LLC
July 8, 2014 - July 3, 2017
MSEC, LLC
July 22, 2009 - June 12, 2014
EATON VANCE MANAGEMENT
January 7, 2008 - June 12, 2014
EATON VANCE DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
STRATCAP SECURITIES, LLC
CRD#: 151152 / SEC#: , 8-68338
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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