Robert K. Woodcock
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.
Robert Keith Woodcock, who also goes by Keith Robert Woodcock, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 22, Series 6 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2013 - August 4, 2021
WORLD EQUITY GROUP, INC.
March 28, 2013 - August 4, 2021
WORLD EQUITY GROUP, INC.
May 4, 2007 - April 18, 2013
RBC CAPITAL MARKETS, LLC
March 18, 2002 - April 18, 2013
RBC CAPITAL MARKETS, LLC
February 15, 2002 - March 11, 2002
SUTRO & CO. INCORPORATED
July 31, 1993 - February 25, 2002
CITIGROUP GLOBAL MARKETS INC.
May 21, 1987 - July 31, 1993
LEHMAN BROTHERS INC.
May 14, 1986 - March 17, 1987
UNICORP FINANCIAL GROUP
Primary Firm SEC Registration
WORLD EQUITY GROUP, INC.
CRD#: 29087 / SEC#: 801-56328, 8-44088
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
WORLD EQUITY GROUP, INC.
CRD#: 29087 / SEC#: 801-56328, 8-44088
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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