Kelly E. Wolfe
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.
Kelly Elizabeth Wolfe, who also goes by Kelly Elizabeth Koenker, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 2014. Kelly had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2014 - February 15, 2018
SWIFT RUN CAPITAL MANAGEMENT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
SWIFT RUN CAPITAL MANAGEMENT
CRD#: 159345 / SEC#: 801-79419
Contact information
Regulatory assets under management
| Total Number of Accounts | 79 |
| AUM (Assets Under Management) | $ 89,000,000 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 7/19/2013 |
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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