Robert J. 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.
Robert Joe Wolf, who also goes by Bob Wolf, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2015 - January 8, 2018
J.J.B. HILLIARD, W.L. LYONS, LLC
September 28, 2015 - January 8, 2018
J.J.B. HILLIARD, W.L. LYONS, LLC
June 27, 2006 - October 20, 2015
STIFEL INDEPENDENT ADVISORS, LLC
December 10, 1999 - October 20, 2015
STIFEL INDEPENDENT ADVISORS, LLC
December 20, 1996 - July 20, 1999
GAM SERVICES, INC.
September 4, 1987 - April 30, 1996
GT GLOBAL, INC.
December 3, 1985 - May 22, 1987
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
May 3, 1985 - December 10, 1985
KEMPER FINANCIAL SERVICES, INC.
May 3, 1985 - December 10, 1985
INVESTORS BROKERAGE SERVICES, INC.
July 27, 1982 - May 31, 1983
THE GREAT-WEST LIFE ASSURANCE COMPANY
March 17, 1981 - November 6, 1981
METLIFE INVESTORS DISTRIBUTION COMPANY
May 20, 1977 - May 30, 1980
AMERICAN EXPRESS FINANCIAL CORPORATION
May 20, 1977 - May 30, 1980
AMERIPRISE FINANCIAL SERVICES, LLC
May 20, 1977 - May 30, 1980
IDS LIFE INSURANCE COMPANY
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 1
Date: 5/16/1977
Registered Representative ExaminationCurrent Firm
J.J.B. HILLIARD, W.L. LYONS, LLC
CRD#: 453 / SEC#: 801-23120, 8-33133
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HL FINANCIAL SERVICES, LLC | MEMBER | |
| ALLEN, JAMES REID | CHAIRMAN OF THE BOARD, CEO | 1014622 |
| AMATO, ANTHONY NICHOLAS JR | PRINCIPAL OPERATIONS OFFICER | 1329288 |
| ASFAHL, DONALD LEE | EXECUTIVE VICE PRESIDENT | 2824358 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| CUTSINGER, CHARLES JOSEPH JR. | EXECUTIVE VICE PRESIDENT | 2065360 |
| GRIMLEY, CHARLES MORRISON | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER | 1121284 |
| KAPLAN, ELIZABETH C | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4619011 |
| KESSINGER, THOMAS BURKS III | DIRECTOR, PRESIDENT | 2366538 |
| MILLER, CARMELLA RASI | CHIEF RISK OFFICER, EXECUTIVE VICE PRESIDENT | 1879379 |
| NEWMAN, ALAN HAMBURG | EXECUTIVE VICE PRESIDENT | 719981 |
| PAPACHRISTOU, NICHOLAS | CHIEF MARKETING OFFICER, EXECUTIVE VICE PRESIDENT | 6464162 |
| PURCELL, PAUL EDWARD | DIRECTOR | 844873 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| WHITE, JALEIGH JEFFERS | EXECUTIVE VICE PRESIDENT | 5950788 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 31 |
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.
