Nicholas James Wolf
CFP®Professional Summary
Nicholas James Wolf, CFP®, who also goes by Nicholas Wolf, is a registered financial advisor currently at FOREFRONT located in Woodland Hills, California. Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Nicholas has worked at 8 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nicholas James Wolf, Nicholas Wolf
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Credentials
Years of Experience
12 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BAYSTATE WEALTH ADVISORS | THE 401(K) ADVISOR | TANDEM WEALTH MANAGEMENT | SUMMIT ADVISORS | PRINCIPATUS WEALTH | POINT2 CAPITAL PARTNERS | PACE FINANCIAL SERVICES | NAMA PRIVATE WEALTH | MOUNTAIN HIGH WEALTH MANAGEMENT | MINDFUL FINANCIAL PARTNERS | LEONE AND COMPANY WEALTH MANAGEMENT | GLENROCK WEALTH ADVISORS | FOUR LEAF FINANCIAL PLANNING | FOREFRONT WEALTH PARTNERS, LLC | FOREFRONT WEALTH PARTNERS | FOREFRONT ADVISOR NETWORK | FOREFRONT | EQUITY COMP ADVISORS | CREATOR MONEY | COAST FINANCIAL | CHALK MONEY | BEST WEALTH ADVISORY
Contact Information
Main Address
7500 Rialto Blvd, Bldg 1 Suite 250, Austin, TX 78735Phone Number
(512) 617-1984# of Employees
15SEC notice filing (27 States and Territories)
Registered to provide investment advisory services in 27 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,382AUM (Assets Under Management)
$239,835,320Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
BAYSTATE WEALTH ADVISORS | THE 401(K) ADVISOR | TANDEM WEALTH MANAGEMENT | SUMMIT ADVISORS | PRINCIPATUS WEALTH | POINT2 CAPITAL PARTNERS | PACE FINANCIAL SERVICES | NAMA PRIVATE WEALTH | MOUNTAIN HIGH WEALTH MANAGEMENT | MINDFUL FINANCIAL PARTNERS | LEONE AND COMPANY WEALTH MANAGEMENT | GLENROCK WEALTH ADVISORS | FOUR LEAF FINANCIAL PLANNING | FOREFRONT WEALTH PARTNERS, LLC | FOREFRONT WEALTH PARTNERS | FOREFRONT ADVISOR NETWORK | FOREFRONT | EQUITY COMP ADVISORS | CREATOR MONEY | COAST FINANCIAL | CHALK MONEY | BEST WEALTH ADVISORY
State Registrations and Notice Filings
(4/10/2024)
(4/9/2024)
(4/9/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Nicholas James Wolf's CRS (Customer Relationship Summary).
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