Joe B. 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.
Joe Brooker Wolfe JR was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1975. Joe had worked at 16 firms and has passed the Series 63, Series 79TO, Series 82TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2021 - December 10, 2024
TERRANOVA CAPITAL EQUITIES, INC
November 14, 2013 - January 8, 2014
WINDSOR STREET CAPITAL, LP
March 31, 2010 - October 18, 2011
EMERGENT FINANCIAL GROUP, INC.
January 16, 2003 - March 12, 2009
WESTMINSTER SECURITIES CORPORATION
February 28, 2001 - September 26, 2001
MIDSOUTH CAPITAL, INC.
January 31, 2000 - February 28, 2001
CARTER, TERRY & COMPANY, INC.
January 21, 1994 - March 17, 1998
FRONTLINE CAPITAL, INC.
January 17, 1992 - April 21, 1992
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
September 11, 1989 - October 16, 1990
NORRIS & HIRSHBERG, INC.
May 24, 1989 - August 12, 1989
ORO FINANCIAL, INC.
July 22, 1986 - April 14, 1988
MARSHALL & CO. SECURITIES, INC.
May 6, 1986 - November 17, 1986
EASTERN CAPITAL SECURITIES, INC.
November 14, 1984 - February 13, 1986
CIBC WORLD MARKETS CORP.
May 3, 1984 - November 13, 1984
JOHNSON, LANE, SPACE, SMITH & CO., INC.
July 21, 1982 - April 2, 1984
WACHOVIA SECURITIES, INC.
March 24, 1975 - September 12, 1978
THE ROBINSON-HUMPHREY COMPANY, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 3/17/2022
Investment Banking Registered Representative ExaminationSeries 82TO
Date: 5/17/2021
Limited Representative-Private Securities OfferingsCurrent Firm
TERRANOVA CAPITAL EQUITIES, INC
CRD#: 45097 / SEC#: , 8-50973
Contact information
FINRA licenses (39 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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