Steven Ray Wolff

Current Employers

Wwm Financial

2131 Palomar Airport Rd. Suite 330, Carslbad, CA 92011 • United States

Current Registrations

Authority	Category	Status	Date
LA	RA	APPROVED	2017-01-11
CA	RA	APPROVED	2011-07-29

LA RA
APPROVED

Since 2017-01-11
CA RA
APPROVED

Since 2011-07-29

Branch Locations

2131 Palomar Airport Rd Suite 330, Carlsbad, CA 92011 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wolff Wiese Magana	Carlsbad	CA	07/2011	Present

07/2011 → Present

Wolff Wiese Magana

Carlsbad, CA

Previous Registrations

2009-06-01 → 2011-08-09

Morgan Stanley

Carlsbad, CA
1997-07-08 → 2009-06-01

Citigroup Global Markets Inc.

Carlsbad, CA

Carlsbad, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-06-19
S63	Uniform Securities Agent State Law Examination	1986-11-24

S65 Uniform Investment Adviser Law Examination

1992-06-19
S63 Uniform Securities Agent State Law Examination

1986-11-24

Other Names

Steve Wolff

View on SEC IAPD

Current Employers

Wwm Financial

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews