Alprentice A. Woods
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.
Alprentice Addon Woods, who also goes by Al Woods, was a registered financial professional .
Alprentice is a previously registered financial professional and started their career in finance in 1994. Alprentice 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
February 14, 2011 - November 5, 2014
INTEGRITY BROKERAGE, LLC
October 31, 2005 - February 17, 2011
OSAIC SERVICES, INC.
December 19, 2002 - October 31, 2005
SUNAMERICA SECURITIES, INC.
November 2, 1998 - November 26, 2002
MORGAN STANLEY DW INC.
March 21, 1997 - November 26, 2002
MORGAN STANLEY DW INC.
February 16, 1994 - March 19, 1997
CHATFIELD DEAN & CO., 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
INTEGRITY BROKERAGE, LLC
CRD#: 117589 / SEC#: , 8-53604
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
