Geoffrey H. Womeldorph
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.
Geoffrey Howard Womeldorph, who also goes by Geoffrey H Womeldorph, was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1995. Geoffrey had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2003 - December 1, 2016
OBERWEIS SECURITIES, INC.
October 4, 2001 - June 9, 2003
ROSENTHAL COLLINS SECURITIES, L.L.C
April 5, 2000 - October 10, 2001
FAS WEALTH MANAGEMENT SERVICES, INC.
November 2, 1995 - April 7, 2000
HOCHMAN & BAKER SECURITIES, INC.
October 12, 1995 - October 24, 1995
WMA SECURITIES, 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
OBERWEIS SECURITIES, INC.
CRD#: 42060 / SEC#: , 8-49679
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
