Steven K. Woodard
Professional summary
Steven Keith Woodard SR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial advisor and started their career in finance in 1981. Prior to being barred, Steven had worked at 8 firms, which includes WEALTH ESQ LLC, GIRARD SECURITIES INC., DFC INVESTOR SERVICES, SPELMAN & CO. INC., EDWARD JONES, MORGAN STANLEY DW INC., E. F. HUTTON & COMPANY INC, UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2007 - September 12, 2007
WEALTH ESQ, LLC
July 9, 2003 - August 31, 2005
GIRARD SECURITIES, INC.
July 8, 2003 - August 31, 2005
GIRARD SECURITIES, INC.
March 25, 2003 - July 11, 2003
DFC INVESTOR SERVICES
March 6, 1997 - March 21, 2003
SPELMAN & CO., INC.
September 11, 1990 - March 10, 1997
EDWARD JONES
April 4, 1988 - August 27, 1990
MORGAN STANLEY DW INC.
April 21, 1986 - April 27, 1988
E. F. HUTTON & COMPANY INC
December 22, 1981 - May 8, 1986
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 8/31/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
Red Flags
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