Charles S. Woodley
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.
Charles Steven Woodley, who also goes by Steve Woodley, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1988. Charles had worked at 2 firms and has passed the Series 63, Series 7 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
December 7, 1993 - May 14, 2013
COUNTRY CLUB FINANCIAL SERVICES, LLC
April 30, 1990 - March 2, 1992
BOK FINANCIAL SECURITIES, INC.
January 20, 1988 - November 17, 1988
BOK FINANCIAL 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
COUNTRY CLUB FINANCIAL SERVICES, LLC
CRD#: 29807 / SEC#: 801-61022, 8-44574
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COUNTRY CLUB BANK | PARENT OF APPLICANT | |
| DERSHEMVEGA, SANDRA LYNNE | PRESIDENT, CCO, FINANCIAL OPERATIONS PRINCIPAL, DIRECTOR | 2702481 |
Disclosures
| Regulatory Event | 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.
