DW
David D. Woodworth
BESSEMER INVESTOR SERVICES
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 2289066
DW
Professional summary
David Duane Woodworth is a registered financial professional currently at BESSEMER INVESTOR SERVICES, INC. located in San Francisco, California.
David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view David Duane Woodworth'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
April 19, 2001 - Present
BESSEMER INVESTOR SERVICES, INC.
Office #1: 101 California Street Suite 2500, San Francisco, CA 94111BD
CRD#: 17442
San Francisco, CA
Past
February 28, 1996 - April 14, 2000
ROUND HILL SECURITIES, INC.
BD
CRD#: 35223
ALAMO, CA
Past
December 18, 1992 - February 29, 1996
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
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
Arizona(5/8/2019)
RR
California(4/19/2001)
RR
Colorado(4/19/2001)
RR
District of Columbia(5/13/2011)
RR
Florida(4/25/2001)
RR
Hawaii(6/4/2001)
RR
Idaho(4/24/2001)
RR
Maryland(5/8/2019)
RR
Mississippi(10/20/2010)
RR
Nevada(4/23/2001)
RR
New York(6/2/2001)
RR
Oregon(4/19/2001)
RR
Rhode Island(5/13/2011)
RR
Tennessee(1/7/2025)
RR
Texas(4/19/2001)
RR
Utah(3/10/2008)
RR
Virginia(5/8/2019)
RR
Washington(4/19/2001)
RR
Wyoming(3/20/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BI
BESSEMER INVESTOR SERVICES, INC.
BESSEMER INVESTOR SERVICES, INC.
CRD#: 17442 / SEC#: , 8-35199
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1271 Avenue Of The Americas 46 Floor, New York, NY 10020
Mailing Address
1271 Avenue Of The Americas 46 Floor, New York, NY 10020
Phone number
(212) 708-9100
Established
Delaware since 04/07/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BESSEMER TRUST COMPANY, N.A. | SHAREHOLDER | |
| BOYLE, PATRICK SIDNEY | SENIOR VICE PRESIDENT | 2472066 |
| GLOWACKI, JEFF JOSEPH | DIRECTOR/SENIOR VICE PRESIDENT | 2942946 |
| GUPTA, RITU | CHIEF COMPLIANCE OFFICER/ASSISTANT SECRETARY | 5059699 |
| MARQUEZ, MICHAEL ALLEN | DIRECTOR/PRESIDENT | 4413060 |
| MCBRIDE, TIMOTHY SEAN | SENIOR VICE PRESIDENT | 2554176 |
| PEDROSO, ARTURO GUSTAVO | SENIOR VICE PRESIDENT | 5161708 |
| SCHLUSSELBERG, BRIAN SCOTT | SENIOR VICE PRESIDENT | 4716582 |
| SLOAN, BENJAMIN PERRY | SENIOR VICE PRESIDENT | 4243057 |
| SYMINGTON, JANE REILLY | SENIOR VICE PRESIDENT | 2520317 |
| TRIMARCO MIRANDO, DIANA | ASSISTANT TREASURER/ASSISTANT FINANCIAL & OPERATIONS PRINCIPAL | 5714209 |
| YAWORSKY, GEORGE M. | TREASURER/FINANCIAL & OPERATIONS PRINCIPAL | 6425195 |
Red Flags
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