Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you F? Claim Your ProfileF. Rachel Wolff is a financial advisor with over 20 years of experience in the financial services industry. Currently, F. Rachel Wolff is registered with Raymond James & Associates, Inc. Previously, F. Rachel Wolff was registered with UBS Financial Services Inc., Prudential Bache Securities, LLC, Prudential Equity Group, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Smith Barney Inc. F. Rachel Wolff specializes in providing financial advice and investment services to individuals, corporations, insurance companies, charitable organizations, pension and profit sharing plans, and state or municipal government entities.
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.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
02/10/2023 - Present
Raymond James & Associates, Inc. (NEW YORK NY)
NY
03/09/2016 - 02/21/2023
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
01/01/2004 - 11/11/2010
PRUDENTIAL BACHE SECURITIES, LLC (NEW YORK NY)
NY
04/18/2000 - 01/01/2004
PRUDENTIAL EQUITY GROUP, INC. (NEW YORK NY)
NY
03/01/1996 - 03/01/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
01/23/1995 - 05/10/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
09/10/1993 - 09/28/1993
STRATTON OAKMONT INC. (LAKE SUCCESS NY)
BC
Issued 04/26/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/2016
Series 7 - General Securities Representative Examination
BC
Issued 08/05/2015
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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