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NICHOLAS JAMES WOLF
NICHOLAS WOLF
CRD#: 6384735
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Investment Adviser
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Broker
FOREFRONTCRD#: 308521 Woodland Hills, CA
CALTON & ASSOCIATES, INC.CRD#: 20999 Woodland Hills, CA
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2016 - 2017 (<1 year)2 FIRMS2017 - 2020 (3 years)2 FIRMS2022 - 2023 (<1 year)2 FIRMS2024 - Present (<1 year)BCITI PRIVATE ADVISORY, LLC (CRD# 153777)2017 - 2017 (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2014 - 2016 (1 year)IAMANHATTAN WEST ASSET MANAGEMEN... (CRD# 283630)2023 - 2024 (<1 year)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2015 - 2016 (1 year)
License(s)

State Registrations

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California 4/10/2024

IA
Washington 4/9/2024

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California 4/17/2024

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Wisconsin 4/9/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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CALTON & ASSOCIATES, INC. (CRD#:20999)
Woodland Hills, CA
Registered with this firm since 4/16/2024

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FOREFRONT (CRD#:308521)
Woodland Hills, CA
Registered with this firm since 4/9/2024

Previous Registration(s)
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07/11/2023 - 04/11/2024 MANHATTAN WEST ASSET MANAGEMENT, LLC (CRD#:283630) LOS ANGELES, CA
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11/28/2022 - 06/30/2023 KEY INVESTMENT SERVICES LLC (CRD#:136300) BROOKLYN, OH
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11/25/2022 - 06/30/2023 KEY INVESTMENT SERVICES LLC (CRD#:136300) BROOKLYN, OH
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07/07/2017 - 12/09/2020 MORGAN STANLEY (CRD#:149777) BEVERLY HILLS, CA
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07/07/2017 - 12/09/2020 MORGAN STANLEY (CRD#:149777) BEVERLY HILLS, CA
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09/06/2016 - 06/29/2017 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BEVERLY HILLS, CA
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03/28/2017 - 06/29/2017 CITI PRIVATE ADVISORY, LLC (CRD#:153777) Beverly Hills, CA
B
09/06/2016 - 06/29/2017 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) BEVERLY HILLS, CA
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01/01/2015 - 08/17/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) LOS ANGELES, CA
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10/20/2014 - 08/17/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) LOS ANGELES, CA
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Broker
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Investment Adviser
Disclosures
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.