Individual Firm
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GARY T. WOLFF
GARY THOMAS WOLFF
CRD#: 1042274
IA
B
VALMARK ADVISERS, INC.CRD#: 108050 201 East Center Street
Suite 200
Manchester, CT 06040
Suite 200
Manchester, CT 06040
VALMARK SECURITIES, INC.CRD#: 31243 201 EAST CENTER STREET
SUITE 200
MANCHESTER, CT 06040
SUITE 200
MANCHESTER, CT 06040
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3/2/2007
Customer Dispute
Denied
State Registrations
B
California 1/13/2020
B
New Jersey 3/6/2007
B
Connecticut 3/6/2007
B
New York 3/6/2007
IA
Connecticut 3/28/2007
B
North Carolina 3/6/2007
B
Florida 3/6/2007
B
Ohio 3/10/2020
IA
Florida 3/11/2019
IA
Ohio 3/10/2020
B
Georgia 2/20/2013
B
Oregon 11/3/2021
B
Illinois 1/22/2024
IA
Oregon 12/6/2021
B
Kentucky 3/4/2010
B
Pennsylvania 4/15/2011
B
Maine 4/26/2023
B
Rhode Island 1/22/2024
B
Maryland 1/15/2016
B
Texas 1/22/2024
B
Massachusetts 3/6/2007
B
Vermont 3/6/2007
IA
Massachusetts 8/6/2019
IA
Vermont 3/1/2019
B
Minnesota 1/22/2024
B
Virginia 8/8/2018
B
New Hampshire 1/3/2023
B
Washington 8/13/2018
SRO Registrations
B
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IA
Registered with this firm since 3/28/2007
B
Registered with this firm since 3/6/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/09/1999 - 03/09/2007 | VERNON, CT | |
B | 05/09/1991 - 03/09/2007 | VERNON, CT | |
B | 05/15/1987 - 03/01/1991 | ||
B | 05/18/1982 - 05/20/1987 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.