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JW

Jonathan D. Wolff

CRD#: 5922559
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JW
Jonathan David Wolff

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.

Jonathan David Wolff, who also goes by Jonathan Wolff, was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 2011. Jonathan had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jonathan Wolff

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

March 1, 2023 - June 12, 2026

SS&C MARKET SERVICES, LLC

BD
CRD#: 23568
BOSTON, MA
Past

January 13, 2020 - February 24, 2023

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
BOCA RATON, FL
Past

January 6, 2020 - February 24, 2023

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
BOCA RATON, FL
Past

November 2, 2017 - January 2, 2020

GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC.

RIA
CRD#: 286005
FORT LAUDERDALE, FL
Past

August 29, 2017 - November 26, 2019

MADISON AVENUE SECURITIES, LLC

BD
CRD#: 23224
Fort Lauderdale, FL
Past

June 16, 2011 - November 3, 2016

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA

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
IAR
Series 65
Date: 8/17/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/30/2011
Uniform Securities Agent 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: 7/6/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/15/2011
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SM
SS&C MARKET SERVICES, LLC
AE SERVICES, INC. | WALL STREET PREFERRED MONEY MANAGERS, INC. | WALL STREET ADVISORS, LLC | WALL STREET ADVISORS, INC. | WALL STREET ADVISOR SERVICES, LLC | SS&C MARKET SERVICES, LLC | DST MARKET SERVICES, LLC

CRD#: 23568 / SEC#: , 8-40530

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

Main Address
One Post Office Square 9th Floor, Boston, MA 02109
Mailing Address
One Post Office Square 9th Floor, Boston, MA 02109
Phone number
(770) 370-4150
Established
New York since 01/12/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
SS&C GIDS, INC.100% OWNER
BECK, DANIEL BRIANPRESIDENT3025596
LONG, PATRICK JEROMEHEAD OF OPERATIONS6093124
MULKERN, JOHN JOSEPH JR.CHIEF COMPLIANCE OFFICER AND SECRETARY4197230
PARSONS, ERIC TFINOP, PRINCIPAL FINANCIAL OFFICER5215115
SCHELL, BRIAN NORMANASSISTANT SECRETARY4414042

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.

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Company Information

SS&C MARKET SERVICES, LLC

Financial AdvisorCRD#: 23568

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Contact information

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