Individual Firm
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ELIZABETH MARY WOLF
CRD#: 1433907
IA
B
WELLS FARGO ADVISORSCRD#: 19616 221 W PHILADELPHIA ST
STE 112E
YORK, PA 17401
STE 112E
YORK, PA 17401
View By:
11/26/2018
Customer Dispute
Settled
State Registrations
B
California 9/25/2009
B
North Carolina 2/24/2020
B
Colorado 9/25/2009
B
Ohio 8/2/2016
B
Delaware 8/18/2021
B
Pennsylvania 9/25/2009
B
Florida 9/25/2009
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Pennsylvania 8/23/2016
B
Maryland 9/25/2009
B
Texas 11/10/2010
B
Massachusetts 7/12/2019
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Texas 11/10/2010
B
New Jersey 4/10/2015
B
Virginia 12/16/2015
B
New York 9/25/2009
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 11/10/2010
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Registered with this firm since 9/25/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/01/2009 - 10/20/2009 | YORK, PA | |
B | 02/21/2006 - 06/01/2009 | YORK, PA | |
B | 01/03/1995 - 02/21/2006 | BALTIMORE, MD | |
B | 12/23/1985 - 01/04/1995 | NEW YORK, NY |
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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.