William Wolf is a registered investment advisor, based in Chicago, IL, with 33 years of industry experience.
Location
200 W. Madison St., Suite 2500, Chicago, IL, 60606
Get directionsHistory
Regulatory History (8)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2020Settled
Customer Dispute
February 2020Settled
Customer Dispute
September 2015Denied
Customer Dispute
August 2012Denied
Customer Dispute
March 2012Settled
Customer Dispute
June 2010Settled
Customer Dispute
October 2004Settled
Customer Dispute
September 2002Closed-No Action
Employment History
Current Registrations
Hightower Securities, LLCBroker
August 2014 - Present · 11 yrs 11 mos
Hightower Advisors, LLC
August 2014 - Present · 11 yrs 11 mos
Hightower Securities, LLC
August 2014 - Present · 11 yrs 11 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2002 - September 2014 · 12 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1998 - September 2014 · 16 yrs 3 mos
Dean Witter Reynolds INC.Broker
May 1996 - May 1998 · 2 yrs
Prudential Securities IncorporatedBroker
May 1994 - May 1996 · 2 yrs
Pruco Securities CorporationBroker
July 1992 - January 1994 · 1 yr 6 mos
State Registrations8 states
CAFLMINCNJNYPAUT
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.