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MW

Michael J. Woods

ENTORO SECURITIES
HOUSTON, TX 77024
Some features on this profile are disabled
CRD#: 2075819
MW

Professional summary

Michael John Woods, CFA, who also goes by Mike John Woods, Mike Woods, is a registered financial professional currently at ENTORO SECURITIES, LLC located in Houston, Texas.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1990. Michael has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike John Woods | Mike 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 Michael John 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®
CFA

Chartered Financial Analyst

Experience

Current

September 11, 2019 - Present

ENTORO SECURITIES, LLC

Office #1: 7941 Katy Freeway Suite 516, Houston, TX 77024
BD
CRD#: 35192
HOUSTON, TX
Past

April 17, 2015 - November 2, 2018

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
New York, NY
Past

January 27, 2014 - August 20, 2014

LEERINK PARTNERS LLC

BD
CRD#: 39011
BOSTON, MA
Past

September 2, 2009 - January 3, 2014

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
NEW YORK, NY
Past

September 19, 2007 - March 27, 2009

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC
Past

June 21, 2006 - May 31, 2007

XTF MARKET MAKING LLC

BD
CRD#: 104308
NEW YORK, NY
Past

June 9, 2006 - July 18, 2007

WYNSTON HILL CAPITAL, LLC

BD
CRD#: 103811
NEW YORK, NY
Past

December 1, 2005 - June 6, 2006

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
STAMFORD, CT
Past

October 13, 2000 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 9, 2000 - August 18, 2000

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

January 5, 1999 - November 17, 1999

DELAWARE DISTRIBUTORS, L.P.

BD
CRD#: 14232
PHILADELPHIA, PA
Past

June 30, 1995 - August 12, 1997

VOYAGEUR INVESTMENTS, INC.

BD
CRD#: 22544
Past

September 23, 1991 - May 17, 1995

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 8, 1990 - July 5, 1991

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

September 4, 1990 - October 5, 1990

PASHLEY FINANCIAL SERVICES, INC.

BD
CRD#: 23017
SPENCER, IN

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
California
(9/12/2019)
RR
New York
(11/7/2019)
RR
Texas
(9/11/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/8/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/23/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/4/2010
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/9/1999
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 12/22/1994
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

ES
ENTORO SECURITIES, LLC
CLEARINGHOUSE SECURITIES LLC | THE PETROLEUM CLEARINGHOUSE, INC. | THE OIL & GAS ASSET CLEARINGHOUSE, INC. | THE OIL & GAS ASSET CLEARINGHOUSE II, LLC | THE OGA CLEARINGHOUSE, INC. | ENTORO SECURITIES, LLC

CRD#: 35192 / SEC#: , 8-46630

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

Main Address
7941 Katy Freeway Suite 516, Houston, TX 77024
Mailing Address
7941 Katy Freeway Suite 516, Houston, TX 77024
Phone number
(713) 823-2900
Established
Delaware since 05/28/2008
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# 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#
ENTORO CAPITAL LLC (WY)SOLE MEMBER
COPSON, MEIHUIREGISTERED PRINCIPAL7187064
COPSON, MEIHUIAML COMPLIANCE PRINCIPAL7187064
GOODIN, DIANE MARIEFINOP3117840
ROW, CATALINA ELIZABETHREGISTERED PRINCIPAL7631359
ROW, JAMES CAVEDODESIGNATED PRINCIPAL, CHIEF COMPLIANCE OFFICER1751837

Disclosures

Regulatory Event1

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

ENTORO SECURITIES, LLC

CRD#: 35192Houston, TX 77024

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