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CRD#: 151850
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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

WOLFE RESEARCH SECURITIES is located at 757 Third Avenue Sixth Floor, New York, NY 10017-2013 and was first established at New York, New York in 08/03/2009. After operating for 16 years, WOLFE RESEARCH SECURITIES has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of WOLFE RESEARCH SECURITIES’s clients are individuals and 0% of their clients are high net worth individuals. WOLFE RESEARCH SECURITIES has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at WOLFE RESEARCH SECURITIES are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access WOLFE RESEARCH SECURITIES‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at WOLFE RESEARCH SECURITIES. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for WOLFE RESEARCH SECURITIES Comes From

Understanding the Statistics for WOLFE RESEARCH SECURITIES and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
1

FIRM INFORMATION

Main Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013
Mailing Address
757 Third Avenue Sixth Floor, New York, NY 10017-2013
Firm Size
Medium
Phone Number
(646) 845-0700
Established
New York since 08/03/2009
Firm Type
Limited Liability Company
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS


DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
WOLFE HOLDCO, LLCSOLE OWNER
JORDAN, FRANCISCFO/FINOP5634167
PALLANTE, SANDRA MARIEGENERAL COUNSEL & CHIEF COMPLIANCE OFFICER2018926
RYAN, PETER WILLIAMVICE CHAIRMAN2009055
WOLFE, EDWARD MARKCEO2804319

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Advisor's working at WOLFE RESEARCH SECURITIES

PR

Peter William Ryan

RR
CRD#: 2009055
Location:
New York, NY 10017
Company:
WOLFE RESEARCH SECURITIES
Disclosures:
Experience:
36 years
View Profile
CG

Christine Grua

Christine Bauvin
RR
CRD#: 2229982
Location:
New York, NY 10017
Company:
WOLFE RESEARCH SECURITIES
Disclosures:
Experience:
33 years
View Profile
SP

Sandra Marie Pallante

RR
CRD#: 2018926
Location:
New York, NY 10017
Company:
WOLFE RESEARCH SECURITIES
Disclosures:
Experience:
24 years
View Profile
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