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DW

Dion M. Woods

FORESIDE FUND SERVICES
Matthews, NC
Some features on this profile are disabled
CRD#: 1999337
DW

Professional summary

Dion Maurice Woods, who also goes by Dion Woods, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Matthews, North Carolina.

Dion is registered as a RR (Registered Representative) and started their career in finance in 1994. Dion has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dion Woods

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dion Maurice Woods's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 7, 2024 - Present

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Matthews, NC
Past

December 19, 2006 - September 6, 2024

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
CHARLOTTE, NC
Past

July 31, 2001 - December 2, 2004

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

November 3, 1994 - December 13, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(10/7/2024)
RR
Alaska
(10/7/2024)
RR
Arkansas
(10/7/2024)
RR
California
(10/7/2024)
RR
Colorado
(10/7/2024)
RR
Connecticut
(10/7/2024)
RR
Delaware
(10/7/2024)
RR
District of Columbia
(10/7/2024)
RR
Florida
(10/7/2024)
RR
Georgia
(10/7/2024)
RR
Idaho
(10/7/2024)
RR
Illinois
(10/7/2024)
RR
Indiana
(10/7/2024)
RR
Iowa
(10/7/2024)
RR
Louisiana
(10/7/2024)
RR
Maryland
(10/7/2024)
RR
Massachusetts
(10/7/2024)
RR
Michigan
(10/7/2024)
RR
Minnesota
(10/7/2024)
RR
Missouri
(10/7/2024)
RR
Nebraska
(10/7/2024)
RR
Nevada
(10/7/2024)
RR
New Jersey
(10/7/2024)
RR
New York
(10/7/2024)
RR
North Carolina
(10/7/2024)
RR
Ohio
(10/7/2024)
RR
Oregon
(10/7/2024)
RR
Pennsylvania
(10/7/2024)
RR
Puerto Rico
(10/7/2024)
RR
South Carolina
(10/7/2024)
RR
Tennessee
(10/7/2024)
RR
Texas
(10/7/2024)
RR
Virgin Islands
(10/7/2024)
RR
Virginia
(10/7/2024)
RR
Washington
(10/7/2024)
RR
Wisconsin
(10/7/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/30/2000
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/6/1995
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/5/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/26/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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.

Company Information

FORESIDE FUND SERVICES, LLC

CRD#: 46106Matthews, NC

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