Individual Firm
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SEAN MICHAEL WOLFE
CRD#: 6295624
IA
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SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 8332 Woodfield Crossing Blvd
Indianapolis, IN 46240
Indianapolis, IN 46240
CHARLES SCHWAB & CO., INC.CRD#: 5393 8332 Woodfield Crossing Blvd
Indianapolis, IN 46240-2482
Indianapolis, IN 46240-2482
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Disclosures
9
Years of Experience
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State Registrations
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Arizona 11/27/2020
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Minnesota 2/8/2024
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California 11/27/2020
B
New Jersey 11/27/2020
B
Colorado 2/8/2024
B
New York 11/27/2020
B
District of Columbia 11/27/2020
B
North Carolina 11/27/2020
B
Florida 11/27/2020
B
Ohio 11/27/2020
B
Georgia 11/27/2020
B
Oklahoma 11/27/2020
B
Illinois 11/27/2020
B
Pennsylvania 11/27/2020
B
Indiana 11/27/2020
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Texas 11/27/2020
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Indiana 11/27/2020
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Texas 1/10/2021
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Kentucky 2/8/2024
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Virginia 11/27/2020
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Maryland 2/8/2024
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Washington 3/7/2024
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Massachusetts 2/8/2024
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Wisconsin 2/8/2024
B
Michigan 11/27/2020
SRO Registrations
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Registered with this firm since 11/27/2020
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Registered with this firm since 11/27/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/17/2020 - 10/29/2020 | INDIANAPOLIS, IN | |
B | 04/17/2020 - 10/29/2020 | INDIANAPOLIS, IN | |
IA | 05/03/2017 - 04/06/2020 | Indianapolis, IN | |
B | 03/12/2015 - 04/06/2020 | Indianapolis, IN | |
IA | 09/14/2015 - 05/04/2017 | Indianapolis, IN |
Indianapolis, IN
05/03/2017 - 04/06/2020
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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.
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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.