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Anne Clarke Wolff

Independence Point Securities LLC

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About Anne Clarke Wolff

Anne Wolff is a financial professional with over 30 years of experience in the industry. Anne is currently registered with Independence Point Securities LLC and holds licenses for Series 7, 10, 24, 63, 99TO and SIE. Anne has previously been employed by BOFA Securities, Inc., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, J.P. MORGAN SECURITIES LLC, CITIGROUP GLOBAL MARKETS INC. and SALOMON BROTHERS INC. Anne is licensed in California, Colorado, New York, Pennsylvania, Texas and Utah.

Firm Information

Anne Wolff is currently registered with Independence Point Securities LLC. Independence Point Securities LLC is a Limited Liability Company formed on November 23, 2021. The firm is registered in seven states: California, Colorado, New York, Pennsylvania, Texas, Utah, and Wisconsin, and has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

16

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Anne Wolff’s Registration & Firm History

NY

05/16/2022 - Present

Independence Point Securities LLC (New York NY)

NY

05/10/2019 - 01/04/2021

BOFA SECURITIES, INC. (NEW YORK NY)

NY

11/16/2011 - 05/10/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

05/06/2011 - 11/04/2011

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

09/01/1998 - 09/04/2009

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

09/19/1989 - 09/01/1998

SALOMON BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/11/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/19/1998

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/16/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Anne Clarke Wolff.
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