Sturgis P. Woodberry
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.
Sturgis Paul Woodberry, who also goes by Sturgis P Woodberry, was a registered financial professional .
Sturgis is a previously registered financial professional and started their career in finance in 1989. Sturgis had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2003 - January 3, 2022
IAM CAPITAL CORPORATION
May 7, 1996 - January 9, 2003
OCC DISTRIBUTORS LLC
September 23, 1994 - February 14, 1996
SBC WARBURG DILLON READ INC.
July 22, 1993 - August 25, 1993
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
September 25, 1989 - July 13, 1992
CITICORP 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
IAM CAPITAL CORPORATION
CRD#: 45034 / SEC#: , 8-50930
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IRIDIAN ASSET MANAGEMENT LLC | SHAREHOLDER | |
| RAKER, TODD DUNKIN | CCO AND CEO | 2651603 |
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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