Charles K. Woodworth
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.
Charles Kennard Woodworth, who also goes by Charles Kinnard Woodworth, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 7 firms and has passed the Series 63, SIE, 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
June 19, 2013 - November 9, 2022
HARPETH SECURITIES, LLC
May 14, 2001 - January 30, 2013
BERCHWOOD PARTNERS LLC
June 21, 2000 - May 16, 2001
ATLANTIC FINANCIAL SERVICES OF MAINE, INC.
September 26, 1997 - January 21, 2000
BUTLER, CHAPMAN & CO., INC.
February 6, 1996 - April 8, 1998
ATLANTIC FINANCIAL SERVICES OF MAINE, INC.
July 8, 1993 - September 2, 1994
NORTH BRIDGE SECURITIES, INC.
February 22, 1993 - June 9, 1993
EAST - WEST CAPITAL CORPORATION
January 26, 1982 - February 3, 1987
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Exams
Current Firm
HARPETH SECURITIES, LLC
CRD#: 109821 / SEC#: , 8-53113
Contact information
FINRA licenses (19 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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