Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Wolfe is a registered investment advisor representative with RBC Capital Markets, LLC. Alan has been in the industry since 1998. Alan's current registrations include Maryland, Texas and the Virgin Islands. Prior to joining RBC Capital Markets, LLC, Alan worked for a number of firms including Citigroup Global Markets Inc. and Legg Mason Wood Walker, Incorporated. Alan has passed a number of industry exams, including Series 7, Series 10, Series 24, Series 31, Series 55, Series 57TO and SIE. Alan is licensed in a number of states, including Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Montana, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Texas, Utah, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin and Wyoming.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
MD
10/31/2024 - Present
RBC Capital Markets, LLC (BALTIMORE MD)
MD
05/05/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PIKESVILLE MD)
NY
02/21/2006 - 04/24/2006
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MD
07/16/2003 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
01/13/2001 - 10/23/2002
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
09/08/1999 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NY
06/14/1999 - 09/07/1999
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
10/24/1997 - 06/14/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
BOTH
Issued 09/27/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/01/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 04/24/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/25/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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