Quinn D. Woody
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.
Quinn D Woody, who also goes by Quinn Douglas Woody, Quinn Woody, was a registered financial professional .
Quinn is a previously registered financial professional and started their career in finance in 1994. Quinn had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2016 - November 7, 2018
FORESTERS EQUITY SERVICES, INC.
March 24, 2016 - November 7, 2018
FORESTERS EQUITY SERVICES, INC.
January 16, 2014 - January 29, 2016
GLOBAL VIEW CAPITAL MANAGEMENT LLC
January 8, 2014 - November 28, 2014
PURSHE KAPLAN STERLING INVESTMENTS
March 25, 2013 - November 29, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
March 22, 2013 - November 29, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
January 6, 2012 - April 10, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - April 10, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 5, 2006 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
March 19, 1999 - April 12, 2002
WMA SECURITIES, INC.
December 21, 1994 - September 3, 1997
FBL MARKETING 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
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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