Michael 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.
Michael John Woods, who also goes by Mike Woods, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1988. Michael had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 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 21, 2010 - October 5, 2011
MJW PLANS
April 13, 2005 - June 15, 2011
FORTUNE FINANCIAL SERVICES, INC.
January 26, 2004 - April 13, 2005
FIRST ALLIED SECURITIES, INC.
November 16, 2001 - February 6, 2004
LPL FINANCIAL LLC
February 27, 1997 - November 21, 2001
METROPOLITAN LIFE INSURANCE COMPANY
February 18, 1997 - November 21, 2001
MSI FINANCIAL SERVICES, INC.
February 9, 1996 - December 18, 1996
FFP SECURITIES, INC.
November 1, 1988 - February 14, 1996
METROPOLITAN LIFE INSURANCE COMPANY
November 1, 1988 - February 14, 1996
MSI FINANCIAL SERVICES, 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
No current employment
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.
