Chris Charles

President and CEO

Wulff, Hansen & Co.

Christopher D. Charles is President and Chief Executive Officer of Wulff, Hansen & Co., a San Francisco-based broker/dealer established in 1931. He also serves as the firm’s CCO. Wulff, Hansen is an investment banking broker/dealer, municipal advisory, and investment advisory firm. Mr. Charles, who joined the firm in 1979, holds the Series 7, 24, 50, 53, 57, 79, and 99 licenses. From 1997-2002 he was the firm’s Executive Vice President, CEO, and COO, and previously served as Manager – Municipal Trading, Director of Equity Research, and in various other capacities. He also oversees the firm’s investment advisory division, Wulff Capital Management, which he founded in 1985. Mr. Charles served on the FINRA District 1 committee from 2006-2009, again in 2010, on FINRA’s National Advisory Council in 2009, on FINRA’s Small Firm Advisory Board for three years from 2012 through 2014 and on the FINRA Fixed Income Committee 2015-2017. He presently serves on FINRA’s Regulatory Advisory, SIE Content, and District 1 Committees and on the Board of Directors of NSCP, the National Society of Compliance Professionals, where he co-founded NSCP’s Municipal Advisor Committee. Mr. Charles is active in the industry, speaking on current topics at forums sponsored by FINRA, the Municipal Securities Rulemaking Board (MSRB), and by NSCP and has written for the magazine Practical Compliance and Risk Management.

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