Douglas P. Woods

HEALTHVIEW ASSET MANAGEMENT

Pittsburgh, PA 15215

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CRD#: 2589368

Professional summary

Douglas Paul Woods is a registered financial advisor currently at HEALTHVIEW ASSET MANAGEMENT, INC. located in Pittsburgh, Pennsylvania.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Douglas has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Scorekeeper at Duquesne University, Pittsburgh, PA. Not investment related. Started 09/2006. Work approximately 4.8 hours per month, all during non-trading hours. Keep official scorebook for men's and women's basketball games at Duquesne University.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Paul Woods's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 7, 2016 - Present

HEALTHVIEW ASSET MANAGEMENT, INC.

Office #1: 219 N Main Street, Pittsburgh, PA 15215

RIA

CRD#: 141884

Pittsburgh, PA

Past

May 10, 2007 - June 1, 2017

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

PITTSBURGH, PA

Past

July 8, 2004 - April 30, 2007

AMUNI FINANCIAL, INC.

CRD#: 8365

PITTSBURGH, PA

Past

August 14, 2001 - August 30, 2002

PNC CAPITAL MARKETS LLC

CRD#: 15647

PITTSBURGH, PA

Past

February 14, 2000 - February 21, 2001

GILFORD SECURITIES INCORPORATED

CRD#: 8076

NEW YORK, NY

Past

January 16, 1996 - February 23, 2000

MOORS & CABOT, INC.

CRD#: 594

BOSTON, MA

Past

February 23, 1995 - January 5, 1996

PNC BROKERAGE CORP

CRD#: 34671

PITTSBURGH, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HEALTHVIEW ASSET MANAGEMENT, INC.

BENNINGTON ASSET MANAGEMENT, INC. | HEALTHVIEW ASSET MANAGEMENT, INC. | BENNINGTON FINANCIAL GROUP, INC.

CRD#: 141884 / SEC#: 801-131629

RIA

Registered Investment Advisory firm - (12/16/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (1/22/2025 Terminated)

Michigan

Registered Investment Advisory firm - (1/31/2025 Terminated)

New York

Registered Investment Advisory firm - (1/22/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/23/2025 Terminated)

West Virginia

Registered Investment Advisory firm - (10/1/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(4/27/2023)

IAR

Pennsylvania
(3/7/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/22/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/17/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/22/1995

General Securities Representative Examination

Current Firm

HEALTHVIEW ASSET MANAGEMENT, INC.

BENNINGTON ASSET MANAGEMENT, INC. | HEALTHVIEW ASSET MANAGEMENT, INC. | BENNINGTON FINANCIAL GROUP, INC.

CRD#: 141884 / SEC#: 801-131629

RIA

Registered Investment Advisory firm - (12/16/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (1/22/2025 Terminated)

Michigan

Registered Investment Advisory firm - (1/31/2025 Terminated)

New York

Registered Investment Advisory firm - (1/22/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/23/2025 Terminated)

West Virginia

Registered Investment Advisory firm - (10/1/2014 Terminated)

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Contact information

Main Address

219 N Main Street, Pittsburgh, PA 15215

Mailing Address

Phone number

(412) 782-5400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GEORGE BERNARD (3/18/2025)

ADV PART 2A (3/18/2025)

DOUGLAS WOODS (3/18/2025)

RENATO MASTROGIOVANNI (3/18/2025)

Regulatory assets under management

Total Number of Accounts	180
AUM (Assets Under Management)	$ 99,812,000

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Douglas P. Woods

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Paul Woods's CRS (Customer Relationship Summary).

Certified licenses

Experience

AGES FINANCIAL SERVICES, LTD.

AMUNI FINANCIAL, INC.

PNC CAPITAL MARKETS LLC

GILFORD SECURITIES INCORPORATED

MOORS & CABOT, INC.

PNC BROKERAGE CORP

Primary Firm SEC Registration

HEALTHVIEW ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/22/2013

Series 63

Date: 3/17/1995

SIE

Date: 6/1/2017

Series 7

Date: 2/22/1995

Current Firm

HEALTHVIEW ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HEALTHVIEW ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

Contact information

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