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MW

Michael D. Woodcock

Some features on this profile are disabled
CRD#: 3231232
MW

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.

Michael David Woodcock was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 5 firms and has passed the Series 16 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 20, 2012 - October 17, 2016

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

December 10, 2010 - December 7, 2011

MF GLOBAL INC.

BD
CRD#: 6731
LONDON,
Past

May 18, 2010 - October 5, 2010

ABG SUNDAL COLLIER INC.

BD
CRD#: 30605
NEW YORK, NY
Past

August 5, 2008 - December 4, 2008

FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC

BD
CRD#: 10485
NEW YORK, NY
Past

August 2, 1999 - July 30, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 16
Date: 7/20/1999
NYSE Supervisory Analyst Examination

Current Firm

NM
NATWEST MARKETS SECURITIES INC.
GREENWICH CAPITAL MARKETS INC | RBS SECURITIES INC. | RBS GREENWICH CAPITAL | NATWEST MARKETS SECURITIES INC. | NATWEST MARKETS (A MARKETING NAME FOR RBS SECURITIES INC.) | GREENWICH CAPITAL MARKETS, INC.

CRD#: 11707 / SEC#: , 8-37135

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
600 Washington Boulevard, Stamford, CT 06901
Mailing Address
600 Washington Boulevard, Stamford, CT 06901
Phone number
(203) 897-2700
Established
Delaware since 11/07/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
RBS HOLDINGS USA INC.SHAREHOLDER
AUSBURN, MICHAEL THOMASDIRECTOR / CHIEF FINACIAL OFFICER2523037
BROWER, LISASECRETARY, GENERAL COUNSEL6177644
BUCCI, MICHELLE ACHIEF OPERATING OFFICER5192971
DESIMONE, LISA MARIECHIEF COMPLIANCE OFFICER2691368
GIRARD, MICHELLE COLLEYPRESIDENT / CHIEF EXECUTIVE OFFICER2185240
ROOSE, SCOTTDIRECTOR2539705
SPEZZANO, CASEY RYANDIRECTOR4678231

Disclosures

Regulatory Event43
Civil Event4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

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