AW
Andrew S. Wolf
UNITED CAPITAL FINANCIAL ADVISORS
MODESTO, CA 95350
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CRD#: 6145046
AW
Professional summary
Andrew Scott Wolf is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Modesto, California.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Andrew has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1 - NAME OF OTHER BUSINESS: UNITED CAPITAL FINANCIAL ADVISORS, LLC DBA UCFA, LLC, UNITED CAPITAL, UNITED CAPITAL FINANCIAL LIFE MANAGEMENT, UNITED CAPITAL PRIVATE WEALTH COUNSELING & UNITED CAPITAL RETIREMENT ADVISERS, UNITED CAPITAL MODESTO.
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: INVESTMENT ADVISORY FIRM REGISTERED WITH THE SEC
POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE
START DATE: 12/03/2012
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISOR PROVIDING ADVISORY SERVICES TO ITS CLIENTS, INCLUDING DISCRETIONARY INVESTMENT MANAGEMENT AND FINANCIAL GUIDANCE
2 - NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES DBA UNITED CAPITAL RISK MANAGEMENT
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: FIXED INSURANCE
START DATE: 12/03/2012
APX NUMBER OF HOURS PER WEEK: 40
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH AND ANNUITIES
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Scott Wolf'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®
NoneExperience
Current
October 30, 2015 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 1200 Scenic Drive Suite 111, Modesto, CA 95350RIA
CRD#: 134600
MODESTO, CA
Past
June 16, 2022 - November 15, 2023
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
Modesto, CA
Past
November 1, 2017 - July 1, 2020
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MODESTO, CA
Past
May 30, 2013 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
MODESTO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(10/30/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/15/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600Modesto, CA 95350TRUST BUT VERIFY
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