Nicholas J. Wolf
FOREFRONT
Woodland Hills, CA
Some features on this profile are disabled
CRD#: 6384735
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Wolf
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. Rover, Olympia WA; not investment related; Pet services; Dog Boarding and Dog Walker; December 2023; 20 hrs/month most of which are during security's hours. Duties incl dog walking and dog boarding. 2. The Pacific Bridge Companies, Inc.; not investment related; 825 S. Primrose Avenue, Suite E, Monrovia, California 91016; Insurance sales; Insurance Agent; 09/2025; 80 hrs/month; 40 hrs/month during securities hrs: Sale of insurance products.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas James 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®
CFP®
Start date: 2022
Experience
Current
April 9, 2024 - Present
FOREFRONT
RIA
CRD#: 308521
Woodland Hills, CA
Past
April 16, 2024 - August 29, 2025
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
TAMPA, FL
Past
July 11, 2023 - April 11, 2024
MANHATTAN WEST ASSET MANAGEMENT, LLC
RIA
CRD#: 283630
LOS ANGELES, CA
Past
November 28, 2022 - June 30, 2023
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
BROOKLYN, OH
Past
November 25, 2022 - June 30, 2023
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
BROOKLYN, OH
Past
July 7, 2017 - December 9, 2020
MORGAN STANLEY
RIA
CRD#: 149777
BEVERLY HILLS, CA
Past
July 7, 2017 - December 9, 2020
MORGAN STANLEY
BD
CRD#: 149777
BEVERLY HILLS, CA
Past
March 28, 2017 - June 29, 2017
CITI PRIVATE ALTERNATIVES, LLC
BD
CRD#: 153777
Beverly Hills, CA
Past
September 6, 2016 - June 29, 2017
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
BEVERLY HILLS, CA
Past
September 6, 2016 - June 29, 2017
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
BEVERLY HILLS, CA
Past
January 1, 2015 - August 17, 2016
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
LOS ANGELES, CA
Past
October 20, 2014 - August 17, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
LOS ANGELES, 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".
FO
FOREFRONT
CHALK MONEY | THE 401(K) ADVISOR | SUMMIT ADVISORS, LLC | PRINCIPATUS WEALTH | POINT2 CAPITAL PARTNERS | PACE FINANCIAL SERVICES | NAMA PRIVATE WEALTH | MOUNTAIN HIGH WEALTH MANAGEMENT | MINDFUL FINANCIAL PARTNERS | LEONE AND COMPANY WEALTH MANAGEMENT | FOUR LEAF FINANCIAL PLANNING | FOREFRONT WEALTH PARTNERS, LLC | FOREFRONT WEALTH PARTNERS | FOREFRONT ADVISOR NETWORK | FOREFRONT | COAST FINANCIAL
CRD#: 308521 / SEC#: 801-130608
RIA
Registered Investment Advisory firm - (7/5/2024 Approved)Alaska
Registered Investment Advisory firm - (10/15/2024 Terminated)California
Registered Investment Advisory firm - (8/21/2024 Terminated)Florida
Registered Investment Advisory firm - (7/22/2024 Terminated)Michigan
Registered Investment Advisory firm - (7/29/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (7/26/2024 Terminated)Ohio
Registered Investment Advisory firm - (7/22/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2024 Terminated)Texas
Registered Investment Advisory firm - (7/22/2024 Terminated)Virginia
Registered Investment Advisory firm - (7/23/2024 Terminated)Washington
Registered Investment Advisory firm - (8/26/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (7/22/2024 Terminated)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(4/10/2024)
IAR
Washington(4/9/2024)
IAR
Wisconsin(4/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/13/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
FO
FOREFRONT
CHALK MONEY | THE 401(K) ADVISOR | SUMMIT ADVISORS, LLC | PRINCIPATUS WEALTH | POINT2 CAPITAL PARTNERS | PACE FINANCIAL SERVICES | NAMA PRIVATE WEALTH | MOUNTAIN HIGH WEALTH MANAGEMENT | MINDFUL FINANCIAL PARTNERS | LEONE AND COMPANY WEALTH MANAGEMENT | FOUR LEAF FINANCIAL PLANNING | FOREFRONT WEALTH PARTNERS, LLC | FOREFRONT WEALTH PARTNERS | FOREFRONT ADVISOR NETWORK | FOREFRONT | COAST FINANCIAL
CRD#: 308521 / SEC#: 801-130608
RIA
Registered Investment Advisory firm - (7/5/2024 Approved)Alaska
Registered Investment Advisory firm - (10/15/2024 Terminated)California
Registered Investment Advisory firm - (8/21/2024 Terminated)Florida
Registered Investment Advisory firm - (7/22/2024 Terminated)Michigan
Registered Investment Advisory firm - (7/29/2024 Terminated)New Hampshire
Registered Investment Advisory firm - (7/26/2024 Terminated)Ohio
Registered Investment Advisory firm - (7/22/2024 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/24/2024 Terminated)Texas
Registered Investment Advisory firm - (7/22/2024 Terminated)Virginia
Registered Investment Advisory firm - (7/23/2024 Terminated)Washington
Registered Investment Advisory firm - (8/26/2024 Terminated)Wisconsin
Registered Investment Advisory firm - (7/22/2024 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
7500 Rialto Blvd, Bldg 1 Suite 250, Austin, TX 78735
Mailing Address
Phone number
(512) 617-1984
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,382 |
| AUM (Assets Under Management) | $ 239,835,320 |
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.
