Michele 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.
Michele Wolfe, who also goes by Michele Ortiz, Michele Wolfe Butler, was a registered financial professional .
Michele is a previously registered financial professional and started their career in finance in 2010. Michele had worked at 10 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2024 - February 2, 2026
MORGAN STANLEY
November 15, 2024 - February 2, 2026
MORGAN STANLEY
January 5, 2024 - June 13, 2024
PRUCO SECURITIES, LLC.
January 4, 2024 - June 13, 2024
PRUCO SECURITIES, LLC.
August 28, 2023 - October 27, 2023
EMPOWER ADVISORY GROUP, LLC
February 8, 2023 - October 27, 2023
EMPOWER FINANCIAL SERVICES, INC.
February 8, 2021 - January 31, 2023
BANKERS LIFE ADVISORY SERVICES, INC.
January 14, 2021 - January 31, 2023
BANKERS LIFE SECURITIES, INC.
July 13, 2018 - December 10, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 2, 2015 - July 13, 2018
STRATEGIC ADVISERS LLC
March 2, 2015 - December 9, 2020
FIDELITY BROKERAGE SERVICES LLC
March 28, 2014 - February 3, 2015
MORGAN STANLEY
March 27, 2014 - February 3, 2015
MORGAN STANLEY
August 24, 2011 - March 28, 2014
CHARLES SCHWAB & CO., INC.
October 19, 2010 - March 28, 2014
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
Current Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 116 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
