John P. Woodby
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.
John Patrick Woodby was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2013 - July 9, 2026
ERNST & YOUNG CAPITAL ADVISORS, LLC
January 14, 2008 - August 15, 2013
OPPENHEIMER & CO. INC.
March 8, 2004 - January 14, 2008
CIBC WORLD MARKETS CORP.
May 24, 2000 - December 5, 2003
GOLDMAN SACHS & CO. LLC
August 31, 1994 - May 24, 2000
LEHMAN BROTHERS 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
ERNST & YOUNG CAPITAL ADVISORS, LLC
CRD#: 152514 / SEC#: , 8-68461
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
