Woodford J. Mooers
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.
Woodford James Mooers JR, who also goes by Woody Mooers Jr, was a registered financial professional .
Woodford is a previously registered financial professional and started their career in finance in 1985. Woodford had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 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
May 14, 2021 - June 17, 2024
ROSENBLATT SECURITIES INC.
June 11, 2016 - August 30, 2019
MORGAN STANLEY
June 1, 2009 - August 30, 2019
MORGAN STANLEY
August 8, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 13, 1994 - February 2, 2000
NEEDHAM & COMPANY, LLC
August 19, 1988 - May 26, 1994
MORGAN KEEGAN & COMPANY, LLC
July 21, 1987 - November 5, 1987
SALOMON BROTHERS INC.
July 16, 1985 - July 30, 1986
CITISTREET EQUITIES LLC
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
ROSENBLATT SECURITIES INC.
CRD#: 18377 / SEC#: , 8-24255
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
