Stuart M. Wolf
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.
Stuart Malcolm Wolf was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1975. Stuart had worked at 4 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 53, Series 9, Series 10, Series 24, Series 27, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 1990 - February 6, 1996
PACE SECURITIES, INC.
April 12, 1988 - July 3, 2025
OPPENHEIMER & CO. INC.
April 1, 1988 - April 12, 1988
FAHNESTOCK INTERNATIONAL INC.
May 5, 1986 - April 1, 1988
OPPENHEIMER & CO. INC.
November 14, 1975 - March 31, 1986
DIS-COM SECURITIES, INC.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationF04
Date: 9/13/1975
Financial Principal ExaminationSeries 00
Date: 9/13/1975
General Securities Principal ExaminationCurrent Firm
PACE SECURITIES, INC.
CRD#: 10288 / SEC#: , 8-33060
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
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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