Unclaimed Profile

Steven Ray Wolff

WOLFF WIESE MAGANA LLC·CARSLBAD, California

Series 7, Series 31, Series 63, Series 6529 years registeredWOLFF WIESE MAGANA LLC

2131 PALOMAR AIRPORT RD., CARSLBAD, CA 92011CRD# 1537203Firm CRD# 157620

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Steven Ray Wolff · CARSLBAD, CA

Registration

CRD #1537203 · WOLFF WIESE MAGANA LLC · 29 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: WOLFF WIESE MAGANA LLC

WWM FINANCIAL

Jul 2011 – Apr 2026

Carlsbad, CA

MORGAN STANLEY SMITH BARNEY LLC

Jun 2009 – Aug 2011

CARLSBAD, CA

CITIGROUP GLOBAL MARKETS INC.

Jul 1997 – Jun 2009

CARLSBAD, CA

Registrations & Exams

FINRA examinations passed

Series 7

Series 31

Series 63

Series 65

Registration record

First registered · July 8, 1997

Years registered · 29

Disclosure History

2001Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

WOLFF WIESE MAGANA LLC

CRD 157620 · SEC 801-72588

AUM

$279M

Regulatory assets under management

Employees

1,452 client accounts

Services offered by WOLFF WIESE MAGANA LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at WOLFF WIESE MAGANA LLC →

Introduction

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Frequently Asked Questions

What services does Steven Ray Wolff offer?

Steven Ray Wolff specializes in Financial Planning, Investment Management.

What are Steven Ray Wolff's credentials?

Steven Ray Wolff is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Steven Ray Wolff located?

Steven Ray Wolff is based in CARSLBAD, California, last registered with WOLFF WIESE MAGANA LLC.

How does Steven Ray Wolff charge for services?

Steven Ray Wolff's firm is compensated through percentage of aum, hourly charges, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is WOLFF WIESE MAGANA LLC?

WOLFF WIESE MAGANA LLC has approximately 7 employees and manages $279M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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