AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JW

John D. Wolfe

PURSHE KAPLAN STERLING INVESTMENTS
Newport Beach, CA 92660
CRD#: 8119775
Some features on this profile are disabled
JW
John David WolfePURSHE KAPLAN STERLING INVESTMENTS

Professional summary

John David Wolfe is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Newport Beach, California.

John is registered as a RR (Registered Representative) and started their career in finance in 2026. John has worked at 1 firm and has passed the Series 66, SIE and Series 7TO exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John David Wolfe's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 12, 2026 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 520 Newport Center Drive Suite 740, Newport Beach, CA 92660
BD
CRD#: 35747
Newport Beach, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/12/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/8/2026
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/7/2026
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/28/2026
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Loading...

Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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.

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747Newport Beach, CA 92660

TRUST BUT VERIFY

Monitor John Wolfe

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Mark Kendall Rylance
Mark RylanceAdvisorCheck Check Mark
RS CRUM INC.
IAR
NEWPORT BEACH, CA
Ryan Anthony Gallo
Ryan GalloAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
FULLERTON, CA
Barton S Pearce
Barton PearceAdvisorCheck Check Mark
PARK AVENUE SECURITIES LLC
IAR
RR
Irvine, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.