FW
Frank R. Wolff
BASIS POINT LLC
Lake Geneva, WI
Some features on this profile are disabled
CRD#: 7164076
FW
Professional summary
Frank R Wolff is a registered financial advisor currently at BASIS POINT LLC located in Lake Geneva, Wisconsin.
Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Frank has worked at 1 firm and has passed the Series 65 and SIE 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.
Part-time Clerk/Treasurer for the Town of Bloomfield. 12-15 hours per week, statutory duties per Wisconsin statutes. Not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Frank R Wolff'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
August 21, 2019 - Present
BASIS POINT LLC
RIA
CRD#: 305327
Lake Geneva, WI
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
Wisconsin(8/21/2019)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
BP
BASIS POINT LLC
BASIS POINT LLC
CRD#: 305327 / SEC#:
Wisconsin
Registered Investment Advisory firm - (8/21/2019 Approved)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
Lake Geneva, WI
Mailing Address
Phone number
(847) 471-0443
Established
Firm type
Fiscal year end
# of Employees
1
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.
