WULFF, HANSEN & CO. of SAN RAFAEL, CA is an SEC-registered investment adviser (CRD 908). Regulatory assets under management: $144.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: High net worth, Pooled vehicles, Other.
| Name | Role | Location |
|---|---|---|
| Charles A Donald | EXECUTIVE VICE PRESIDENT; PRESIDENT; PRESIDENT, CCO (+1 more) | Pittsburgh, PA |
| Christopher Donald Charles | PRESIDENT, CCO CHIEF COMPLIANCE OFFICER | — |
| Dennis Henry Steinkamp | SENIOR VICE PRESIDENT | — |
| Kim B Tu | CFO/POO FOR REGULATORY PURPOSES ONLY | — |
| Robert John Pankratz | MUNICIPAL ADVISOR REPRESENTATIVE, DIRECTOR OF OPERATIONS, VICE PRESIDENT | — |
| TALBOT JOHN PARKER | VICE PRESIDENT | — |
| TU KIM B | CFO/POO FOR REGULATORY PURPOSES ONLY | — |
| COOK ALAN EUGENE | FINANCIAL & OPERATIONS PRINCIPAL/(CFO FOR REGULATORY PURPOSES) | — |
| HANSEN JAMES DECATUR | PRESIDENT | — |
| DERCOLE GENE JOHN | SENIOR VICE PRESIDENT | — |
| STEINKAMP DENNIS HENRY | SENIOR VICE PRESIDENT | — |
| PANKRATZ ROBERT JOHN | MUNICIPAL ADVISOR REPRESENTATIVE, DIRECTOR OF OPERATIONS, VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2011-03-11 | regulatory | DURING A THREE-MONTH PERIOD A TOTAL OF 39 MUNICIPAL BOND TRADES WERE REPORTED WITH AN INCORRECT TIME AND/OR REPORTED MORE THAN 15 MINUTES AFTER EXECUTION IN VIOLATION OF MSRB RULES G-14 AND G-8. | Final | $10K |
| 1989-08-07 | regulatory | FAILURE TO COMPLY WITH CERTAIN PORTIONS OF ARTICLE III, SECTION I OF RFP AND FILING REQUIREMENTS REGARDING FORM A13. | Final | $3K |
| 1980-03-25 | regulatory | SETTLED 9/27/82. THE SEC ALLEGED THAT THE FIRM ENGAGED IN INSIDER TRADING USING DATA ABOUT A SUCCESSFUL OIL WELL IN WHICH GULF ENERGY CORPORATION HAD AN INTEREST, PURCHASED STOCK AT BELOW-MARKET PRICES WITHOUT DISCLOSING THAT FACT, AND ISSUED A RESEARCH REPORT CONTAINING INFORMATION SUPPLIED BY GULF… | Final | $738 |
| — | regulatory | — | — | — |