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