Rodney D. Woxland
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.
Rodney Dale Woxland, who also goes by Rod Woxland, was a registered financial professional .
Rodney is a previously registered financial professional and started their career in finance in 1983. Rodney had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2014 - December 31, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 17, 2011 - June 21, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 1, 2004 - November 21, 2011
GENEOS WEALTH MANAGEMENT, INC.
June 12, 2002 - June 8, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 12, 2002 - June 8, 2004
OSAIC FA, INC.
August 7, 1989 - June 4, 2002
VERAVEST INVESTMENTS, INC.
October 11, 1988 - August 15, 1989
AEGON USA SECURITIES INC.
July 8, 1986 - November 15, 1988
NYLIFE SECURITIES LLC
February 16, 1983 - February 25, 1987
VERAVEST INVESTMENTS, 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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
