George Q. Woodrum
Professional summary
George Quintin Woodrum was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
George is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, George had worked at 6 firms, which includes OC SECURITIES INC., SHORELINEAMBROSE ADVISORS LLC, INTEGRITY BROKERAGE LLC, FARMERS FINANCIAL SOLUTIONS LLC, TRADEWAY SECURITIES GROUP INC., SECURITIES RESOLUTION CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2010 - March 25, 2013
OC SECURITIES, INC.
October 22, 2007 - November 11, 2008
OC SECURITIES, INC.
August 13, 2007 - June 10, 2008
SHORELINEAMBROSE ADVISORS, LLC
July 6, 2005 - February 28, 2006
INTEGRITY BROKERAGE, LLC
April 7, 2005 - June 15, 2005
OC SECURITIES, INC.
November 21, 2003 - February 17, 2004
FARMERS FINANCIAL SOLUTIONS, LLC
October 16, 2002 - October 8, 2003
INTEGRITY BROKERAGE, LLC
June 16, 1998 - October 23, 2002
TRADEWAY SECURITIES GROUP, INC.
March 7, 1997 - June 23, 1998
SECURITIES RESOLUTION CORPORATION
September 27, 1996 - March 12, 1997
TRADEWAY SECURITIES GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 6/17/2000
Limited Representative-Equity Trader ExamCurrent Firm
OC SECURITIES, INC.
CRD#: 133264 / SEC#: , 8-66706
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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