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AF

Arielle M. Foucek

WOLFE RESEARCH SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 5543838
AF

Professional summary

Arielle Marie Foucek is a registered financial professional currently at WOLFE RESEARCH SECURITIES located in New York, New York.

Arielle is registered as a RR (Registered Representative) and started their career in finance in 2009. Arielle has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Arielle Marie Foucek'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

June 28, 2022 - Present

WOLFE RESEARCH SECURITIES

Office #1: 757 Third Avenue Sixth Floor, New York, NY 10017
BD
CRD#: 151850
New York, NY
Past

January 13, 2015 - June 21, 2022

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NEW YORK, NY
Past

April 19, 2013 - December 9, 2014

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

January 27, 2010 - April 26, 2011

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
NEW YORK, NY
Past

September 25, 2009 - January 29, 2010

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

August 11, 2009 - January 29, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
Connecticut
(6/29/2022)
RR
Florida
(6/29/2022)
RR
New Jersey
(6/29/2022)
RR
New York
(6/28/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/23/2009
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: 8/10/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/9/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WR
WOLFE RESEARCH SECURITIES
WOLFE CAPITAL MARKETS AND ADVISORY | WR SECURITIES, LLC | WOLFE TRAHAN SECURITIES | WOLFE RESEARCH SECURITIES

CRD#: 151850 / SEC#: , 8-68406

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

Main Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013
Mailing Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013
Phone number
(646) 845-0700
Established
New York since 08/03/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (48 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
WOLFE HOLDCO, LLCSOLE OWNER
JORDAN, FRANCISCFO/FINOP5634167
PALLANTE, SANDRA MARIEGENERAL COUNSEL & CHIEF COMPLIANCE OFFICER2018926
RYAN, PETER WILLIAMVICE CHAIRMAN2009055
WOLFE, EDWARD MARKCEO2804319

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

WOLFE RESEARCH SECURITIES

CRD#: 151850New York, NY 10017

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