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WW

Willliam H. Wolfe

STRATCAP SECURITIES
New York, NY 10112
Some features on this profile are disabled
CRD#: 5463309
WW

Professional summary

Willliam Hubbard Wolfe, who also goes by William H Wolfe, William H. Wolfe III, William Hubbard Wolfe III, is a registered financial professional currently at STRATCAP SECURITIES, LLC located in New York, New York.

Willliam is registered as a RR (Registered Representative) and started their career in finance in 2008. Willliam has worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

William H Wolfe | William H. Wolfe Iii | William Hubbard Wolfe Iii

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) - BD

Click below to view Willliam Hubbard Wolfe's CRS (Customer Relationship Summary).

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

Current

July 7, 2023 - Present

STRATCAP SECURITIES, LLC

Office #1: 30 Rockefeller Plaza, Suite 2050, New York, NY 10112
BD
CRD#: 151152
New York, NY
Past

September 6, 2022 - June 1, 2023

PREP SECURITIES, LLC

BD
CRD#: 188522
PARK CITY, UT
Past

October 12, 2021 - September 9, 2022

PHARE CAPITAL WEALTH MANAGEMENT

RIA
CRD#: 314743
BOSTON, MA
Past

July 6, 2017 - April 8, 2020

TORTOISEECOFIN SECURITIES, LLC

BD
CRD#: 285411
OVERLAND PARK, KS
Past

November 18, 2016 - April 8, 2020

TORTOISEECOFIN INVESTMENTS PARTNERS, LLC

RIA
CRD#: 285213
BOSTON, MA
Past

July 21, 2014 - November 18, 2016

MONTAGE INVESTMENTS, LLC

RIA
CRD#: 152607
BOSTON, MA
Past

July 8, 2014 - July 3, 2017

MSEC, LLC

BD
CRD#: 154327
OVERLAND PARK, KS
Past

July 22, 2009 - June 12, 2014

EATON VANCE MANAGEMENT

RIA
CRD#: 104859
BOSTON, MA
Past

January 7, 2008 - June 12, 2014

EATON VANCE DISTRIBUTORS, INC.

BD
CRD#: 37731
BOSTON, MA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/7/2023)
RR
Connecticut
(7/7/2023)
RR
Delaware
(12/6/2024)
RR
District of Columbia
(11/21/2024)
RR
Florida
(11/21/2024)
RR
Georgia
(11/21/2024)
RR
Illinois
(9/4/2025)
RR
Indiana
(8/29/2025)
RR
Iowa
(8/29/2025)
RR
Kansas
(9/3/2025)
RR
Kentucky
(9/2/2025)
RR
Maine
(7/7/2023)
RR
Maryland
(11/22/2024)
RR
Massachusetts
(7/10/2023)
RR
Michigan
(7/11/2023)
RR
Minnesota
(8/29/2025)
RR
Nebraska
(8/29/2025)
RR
New Hampshire
(7/13/2023)
RR
New Jersey
(7/10/2023)
RR
New York
(7/11/2023)
RR
North Carolina
(11/25/2024)
RR
North Dakota
(9/2/2025)
RR
Ohio
(7/7/2023)
RR
Pennsylvania
(7/10/2023)
RR
Puerto Rico
(12/4/2024)
RR
Rhode Island
(7/12/2023)
RR
South Carolina
(11/21/2024)
RR
South Dakota
(8/29/2025)
RR
Vermont
(7/12/2023)
RR
Virginia
(11/21/2024)
RR
West Virginia
(12/2/2024)
RR
Wisconsin
(9/3/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/23/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/28/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/13/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/4/2008
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
STRATCAP SECURITIES, LLC
SC DISTRIBUTORS, LLC | STRATCAP SECURITIES, LLC

CRD#: 151152 / SEC#: , 8-68338

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
30 Rockefeller Plaza, Suite 2050, New York, NY 10112
Mailing Address
30 Rockefeller Plaza, Suite 2050, New York, NY 10112
Phone number
(657) 383-9648
Established
Delaware since 03/31/2009
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
STRATCAP, LLCMEMBER
CONDON, JAMES VALENTINECHIEF EXECUTIVE AND CHIEF OPERATING OFFICER4965433
LAROSE, JENNIFERCHIEF COMPLIANCE OFFICER3094139
ROSTVOLD, ERIK KJELLOPERATIONS MANAGER4384284
RYAN, KIMBERLY ANNFINOP4316310

Disclosures

Regulatory Event1

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.

Company Information

STRATCAP SECURITIES, LLC

CRD#: 151152New York, NY 10112

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