William H. Woodfield
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.
William Harry Woodfield, who also goes by William Harry Woopfield, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 7 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2008 - January 14, 2013
OLYMPUS SECURITIES, LLC
February 22, 2008 - August 13, 2008
THE CONCORD EQUITY GROUP, LLC
January 27, 1998 - March 7, 2008
AUGMENT SECURITIES INC.
September 5, 1996 - January 28, 1998
HAMPSHIRE SECURITIES CORPORATION
September 5, 1989 - September 17, 1996
LADENBURG THALMANN & CO. INC.
June 23, 1988 - September 14, 1989
MOORE & SCHLEY, CAMERON & CO.
November 25, 1981 - June 13, 1988
PHILIPS, APPEL & WALDEN, 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 55
Date: 2/27/1999
Limited Representative-Equity Trader ExamCurrent Firm
OLYMPUS SECURITIES, LLC
CRD#: 114050 / SEC#: , 8-53392
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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