Individual Firm
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SALLY ANN WOLFE
CRD#: 4397013
IA
B
IHT WEALTH MANAGEMENT LLCCRD#: 171481 St Petersburg, FL
LPL FINANCIAL LLCCRD#: 6413 ST PETERSBURG, FL
0
Disclosures
23
Years of Experience
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State Registrations
B
Florida 8/7/2012
B
North Carolina 8/7/2012
IA
Florida 5/8/2019
B
South Carolina 9/3/2024
B
Georgia 7/23/2015
B
Tennessee 9/8/2020
B
New York 1/2/2018
B
West Virginia 9/3/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/23/2012 - 05/02/2019 | TAMPA, FL | |
IA | 10/10/2003 - 08/09/2012 | TAMPA, FL | |
B | 06/04/2001 - 08/09/2012 | HOUSTON, TX | |
B | 06/04/2001 - 12/31/2001 | HOUSTON, TX |
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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.