Cary P. Wozniak
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Cary Patrick Wozniak was a registered financial professional .
Cary is a previously registered financial professional and started their career in finance in 1981. Cary had worked at 6 firms and has passed the Series 63, SIE, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2000 - January 4, 2018
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
August 28, 1997 - June 19, 2000
TRANSAMERICA INVESTORS SECURITIES, LLC
January 1, 1997 - June 26, 1997
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 1, 1993 - January 1, 1997
PRUDENTIAL RETIREMENT SERVICES, INC.
June 1, 1992 - May 1, 1993
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 10, 1986 - June 1, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 17, 1981 - June 29, 1984
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 11/9/1981
Interest Rate Options ExaminationCurrent Firm
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
CRD#: 7834 / SEC#: , 8-22992
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
Red Flags
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