Denise K. Woods
Professional summary
Denise Kay Woods was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Denise is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Denise had worked at 3 firms, which includes BMO HARRIS FINANCIAL ADVISORS INC., HARRISDIRECT LLC, BANC ONE SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2005 - March 9, 2006
BMO HARRIS FINANCIAL ADVISORS, INC.
December 3, 2003 - December 31, 2005
HARRISDIRECT LLC
February 25, 1999 - February 4, 2004
BANC ONE SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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