William Edwin Nicholas Wolfe

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2014 → 04/2017
  Oppenheimer & Co Inc.
  Asheville, NC
• 05/2017 → 05/2019
  Incapital Llc
  Boca Raton, FL
• 03/2020 → 06/2021
  Ameriprise Financial Services Inc
  Boca Raton, FL
• 06/2019 → 03/2020
  Unemployed
  Boca Raton, FL
• 06/2021 → 03/2023
  Ameriprise Financial Services, Llc
  Boca Raton, FL
• 06/2023 → Present
  Lpl Financial Llc
  Menlo Park, CA

Previous Registrations

• 2021-07-15 → 2023-04-03
  Ameriprise Financial Services, Llc
  Boca Raton, FL
• 2020-06-29 → 2021-06-16
  Ameriprise Financial Services, Llc
  Boca Raton, FL
• 2016-01-04 → 2017-04-21
  Oppenheimer & Co. Inc.
  Asheville, NC
  Winston-Salem, NC

Other Businesses

1- 06/2023 / Menlo Asset Management / DBA for LPL Business (entity for LPL business) / Investment Related

Exams

• S65 Uniform Investment Adviser Law Examination
  2020-06-29
• S66 Uniform Combined State Law Examination
  2015-12-31

Other Names

• William E Wolfe
• William Edwin Wolfe
• William Edwin Nicholas Wolfe
• William Edwin Nicholas Wolfe
• Nick Wolfe