William D. Woodward
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 David Woodward, who also goes by Bill Woodward, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 27, Series 4, Series 53 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
September 14, 2011 - August 24, 2015
B. RILEY WEALTH MANAGEMENT
July 15, 2009 - January 4, 2011
WADDELL & REED
October 31, 2003 - June 3, 2009
AMERITAS INVESTMENT COMPANY, LLC
February 21, 2001 - October 31, 2003
THE ADVISORS GROUP, INC.
May 1, 1996 - December 6, 1999
BIRCHTREE FINANCIAL SERVICES LLC
April 5, 1994 - May 8, 1996
FBD INVESTMENT SERVICES, INC.
September 29, 1992 - January 7, 1994
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
January 18, 1988 - September 25, 1992
GENERAL SECURITIES CORP
April 10, 1985 - January 19, 1988
HANOVER INVESTMENT SECURITIES, 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
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
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.
