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Brian Wolf Resigns from Nova Wealth Management

Dec 16, 2022 Employment

Brian Wolf (CRD #: 2038773), a broker formerly registered with MidAmerica Financial Services, resigned from Nova Wealth Management, according to his BrokerCheck record, accessed on December 14, 2022. Read on if you have questions about his alleged conduct as a broker.

Resignation from Nova Wealth Management

On November 4, 2022, Brian Wolf was permitted to resign from investment adviser firm Nova Wealth Management following allegations that he borrowed money from a client of his former firm.

FINRA Rule 3240

FINRA Rule 3240 describes the circumstances under which it is appropriate for brokers to borrow from or lend to clients.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 3240 may also be violations of FINRA Rule 2010. 

Civil Lien

On August 14, 2017, Brian Wolf was subject of a civil lien for $7,476.40.

Background Information

Brian Wolf has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

He previously worked for the following firms:

  • MidAmerica Financial Services (CRD#:47351)
  • Financial Network Investment Corporation (CRD#:13572)
  • Prospera Financial Services (CRD#:10740)
  • U.S. Bancorp Investments (CRD#:17868)
  • Equity Services (CRD#:265)
  • Sentinel Financial Services Company (CRD#:31175)
  • PlanMember Securities Corporation (CRD#:11869)
  • Washington Square Securities (CRD#:2882)
  • Fortis Investors (CRD#:421)
  • Washington Square Securities (CRD#:2882)
  • Securities America (CRD#:10205)
  • MIMLIC Sales Corporation (CRD#:15296)
  • C.R.I. Securities (CRD#:22589)

Kurta Law Can Help

If you worked with Brian Wolf and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.