Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Wolff is a financial professional with over 28 years of experience in the industry. Richard is currently registered with SG Americas Securities, LLC. Prior to joining SG Americas Securities, LLC, Richard was associated with Barclays Capital Inc. and J.P. Morgan Securities Inc. Richard holds a variety of licenses and certifications including Series 3, Series 7, Series 24, Series 63, Series 79TO, Series 99TO, and SIE.
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.
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.
1
2
NY
07/19/2010 - Present
SG Americas Securities, LLC (NEW YORK NY)
NY
04/25/2001 - 04/15/2010
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
04/24/2000 - 05/17/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
03/25/1998 - 05/12/2000
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
04/12/1994 - 03/09/1998
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/12/1994 - 10/23/1995
LEHMAN GOVERNMENT SECURITIES INC.
NA
04/12/1994 - 07/18/1994
LEHMAN SPECIAL SECURITIES INC.
BC
Issued 06/30/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/02/2010
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/28/1994
Series 3 - National Commodity Futures Examination
BC
Issued 05/23/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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