0000108634-20-000020.txt : 20200407
0000108634-20-000020.hdr.sgml : 20200407
20200407083904
ACCESSION NUMBER: 0000108634-20-000020
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
CHARLES,CHRISTOPHER,DONALD,
FILED AS OF DATE: 20200406
DATE AS OF CHANGE: 20200407
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: WULFF, HANSEN & CO.
CENTRAL INDEX KEY: 0000108634
IRS NUMBER: 940993720
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1230
FILING VALUES:
FORM TYPE: MA-I/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-04303
FILM NUMBER: 20778484
BUSINESS ADDRESS:
STREET 1: 100 SMITH RANCH ROAD, SUITE 330
CITY: SAN RAFAEL
STATE: CA
ZIP: 94903
BUSINESS PHONE: 415-421-8900
MAIL ADDRESS:
STREET 1: 100 SMITH RANCH ROAD, SUITE 330
CITY: SAN RAFAEL
STATE: CA
ZIP: 94903
FORMER COMPANY:
FORMER CONFORMED NAME: WULFF HANSEN & CO /BD
DATE OF NAME CHANGE: 20020129
MA-I/A
1
primary_doc.xml
MA-I/A
0000108634
XXXXXXXX
Chris Charles
4152026650
ccharles@wulffhansen.com
N
N
Christopher
Donald
Charles
709131
N
1
0000108634
WULFF, HANSEN & CO.
07-01-2014
N
867-01256
LOCATED
SUPERVISED
07-01-2014
100 Smith Ranch Road, Suite 330
SAN Rafael
CA
94903
01-1980
Wulff, Hansen & Co.
San Rafael
CA
94903
Y
Y
President since 2002. Note: Actual date of employment was 11/27/1979 but advised by counsel in OMS that EDGAR system will not accept dates prior to Jan 1980.
Y
11-2007
C.A. Botzum
18321 Hillcrest Ave
Villa Park
CA
92861
N
Y
Broker/dealer
PRINCIPAL
1
CONTINUING EDUCATION , yearly average l0-15 minutes per month
10-2015
NATIONAL SOCIETY OF COMPLIANCE PROFESSIONALS
22 Kent Road
Cornwall Bridge
CT
06754
N
N
Professional association
Member, Board of Directors
3
Director
09-2017
Mcclurg Capital Corporation
950 Northgate Suite 301
San Rafael
CA
94903
N
Y
Broker/dealer and registered investment advisor
Registered representative, retail
4
Retail brokerage services
01-1980
Wulff, Hansen & Co.
100 Smith Ranch Road, Suite 330
San Rafael
CA
94903
Y
Y
Municipal Advisor, Broker/Dealer, Registered Investment Advisor
President and CEO, CCO
160
Responsibilities in addition to municipal advisory activities include broker/dealer activities and registered investment advisor activities Hourly total above includes all three types of activity.
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
03-23-2020
Christopher Charles
President