William J. Woods
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 John Woods JR was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2000 - June 3, 2022
LOOP CAPITAL MARKETS LLC
October 1, 1999 - August 24, 2000
WELLS FARGO CLEARING SERVICES, LLC
April 22, 1998 - April 5, 1999
JACKSON SECURITIES LLC
June 19, 1995 - March 4, 1998
JACKSON SECURITIES LLC
January 1, 1991 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
March 31, 1989 - January 1, 1991
BUTCHER & SINGER INC.
September 1, 1988 - January 7, 1991
FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.
June 18, 1985 - April 5, 1988
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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