JW
John G. Woodhead
ALLIANT SECURITIES TURNER, NORD, KIENBAUM
Liberty Lake, WA 99019
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CRD#: 1948934
JW
Professional summary
John Grant Woodhead JR is a registered financial advisor currently at ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM located in Liberty Lake, Washington.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. John has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
I OWN RENTAL PROPERTY. I HAVE OWNED IT FOR 10+ YEARS. IT IS NOT INVESTMENT-RELATED. I AM A SOLE PROPRIETOR, AND HAVE A 3-4 HR. PER WEEKEND TIME COMMITTMENT. THIS ACTIVITY DOES NOT INTERFERE OR CROSS-OVER INTO SECURITIES TRADING HOURS. MY DUTIES ARE MAINTENANCE RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view John Grant Woodhead JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Grant Woodhead JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 27, 2007 - Present
ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
Office #1: 695 North Legacy Ridge Drive Suite 300, Liberty Lake, WA 99019RIA
BD
CRD#: 7726
Liberty Lake, WA
Current
January 30, 2004 - Present
ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
Office #1: 695 North Legacy Ridge Drive Suite 300, Liberty Lake, WA 99019RIA
BD
CRD#: 7726
Liberty Lake, WA
Past
June 25, 2002 - February 17, 2004
DAVIDSON INVESTMENT ADVISORS, INC.
RIA
CRD#: 110552
GREAT FALLS, MT
Past
November 13, 1999 - February 17, 2004
D.A. DAVIDSON & CO.
RIA
CRD#: 199
SPOKANE, WA
Past
October 5, 1999 - February 17, 2004
D.A. DAVIDSON & CO.
BD
CRD#: 199
GREAT FALLS, MT
Past
May 24, 1989 - January 10, 2000
PHELPS & WOODHEAD, INC.
BD
CRD#: 7920
SPOKANE, WA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
ALLIANT SECURITIES, INC. | BOZARTH, FITZGERALD & TURNER SECURITIES, INC. | BOZARTH & TURNER SECURITIES, INC. | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
CRD#: 7726 / SEC#: 801-120849, 8-23305
RIA
Registered Investment Advisory firm - SEC (5/13/2021 Approved)Idaho
Registered Investment Advisory firm - SEC (5/14/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/6/2021 Terminated)Washington
Registered Investment Advisory firm - SEC (6/14/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(5/10/2006)
RR
Arizona(1/30/2004)
IAR
Arizona(8/4/2022)
RR
California(1/30/2004)
IAR
California(5/28/2021)
RR
Idaho(1/30/2004)
IAR
Idaho(11/15/2018)
RR
Montana(3/1/2004)
RR
New York(5/31/2006)
RR
Oregon(5/31/2006)
IAR
Oregon(11/27/2018)
RR
Washington(1/30/2004)
IAR
Washington(9/27/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
ALLIANT SECURITIES, INC. | BOZARTH, FITZGERALD & TURNER SECURITIES, INC. | BOZARTH & TURNER SECURITIES, INC. | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
CRD#: 7726 / SEC#: 801-120849, 8-23305
RIA
Registered Investment Advisory firm - SEC (5/13/2021 Approved)Idaho
Registered Investment Advisory firm - SEC (5/14/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/6/2021 Terminated)Washington
Registered Investment Advisory firm - SEC (6/14/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
695 North Legacy Ridge Drive Suite 300, Liberty Lake, WA 99019
Mailing Address
695 North Legacy Ridge Drive Suite 300, Liberty Lake, WA 99019
Phone number
(509) 747-9144
Established
Washington since 10/10/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
9
SEC notice filing (6 States and Territories)
FINRA licenses (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 548 |
| AUM (Assets Under Management) | $ 226,500,000 |
Disclosures
| Regulatory Event | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2024 | ||
| 01/29/2024 |
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.
