Phyllis A. Woods
Professional Summary
Phyllis A. Woods, who also goes by Phyllis Arena, Phyllis Arena Woods, Phyllis Woods, is a registered financial advisor currently at FERRETTI GROUP, INC. located in Naples, Florida. Phyllis is registered as a RR (Registered Representative) and started their career in finance in 1998. Phyllis has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 19, Series 55, Series 7, Series 25, Series 15, Series 4, Series 14,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Phyllis Arena, Phyllis Arena Woods, Phyllis Woods
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
FERRETTI GROUP, INC. | STEPHEN M. FERRETTI, INC.
Contact Information
Main Address
C/o Accounting & Compliance International 199 Water St 9th Fl, New York, NY, 10038Mailing Address
C/o Accounting & Compliance International 199 Water St 9th Fl, New York, NY, 10038Phone Number
(646) 749-8172Established
New York since 06/08/1999Firm Type
CorporationFiscal Year End
MarchFirm Size
SmallFINRA licenses (7 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(5/10/2023)
(3/21/2011)
(10/12/2017)
(3/23/2011)
(8/23/2011)
(10/12/2010)
(3/29/2011)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 19 — NYSE Floor Clerk - Equities Examination
Passed Jun 2018Series 55 — Limited Representative-Equity Trader Exam
Passed Jul 2005Series 25 — NYSE Trading Assistant Examination
Passed Oct 1999Series 15 — Foreign Currency Options Examination
Passed Jul 1988Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2001About the Series 9 examSRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Phyllis A. Woods's CRS (Customer Relationship Summary).
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