Charles E. Woods
Professional summary
Charles Ernest Woods, who also goes by Charles E Woods, Charles Ernest Woods, is a registered financial professional currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Merrimack, New Hampshire.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1994. Charles has worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 51, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Ernest Woods's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 11, 2015 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: One Spartan Way, Merrimack, NH 03054March 13, 2007 - April 27, 2015
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
January 29, 2001 - March 13, 2007
FIDELITY DISTRIBUTORS COMPANY LLC
January 1, 1994 - January 29, 2001
FIDELITY BROKERAGE SERVICES LLC
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
Series 8
Date: 2/5/1997
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507 / SEC#: , 8-35097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
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.
