Christopher M. Woodrum
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.
Christopher Michael Woodrum, who also goes by Christopher Michael Woodrum Mr, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1999. Christopher had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2015 - August 15, 2019
TOBIN & COMPANY SECURITIES LLC
January 8, 2015 - June 24, 2015
M&A SECURITIES GROUP, INC.
July 31, 2012 - June 27, 2014
KIMBERLITE ADVISORS, LLC
February 29, 2008 - May 25, 2012
RBC CAPITAL MARKETS, LLC
February 13, 2007 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
October 11, 2005 - May 19, 2006
RBC CAPITAL MARKETS CORPORATION
October 6, 1999 - December 11, 2000
PMG SECURITIES CORPORATION
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
TOBIN & COMPANY SECURITIES LLC
CRD#: 137918 / SEC#: , 8-67134
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOBIN & COMPANY INVESTMENT BANKING GROUP LLC | PARENT COMPANY | |
| TOBIN, JUSTINE EIDT | CHIEF COMPLIANCE OFFICER | 1641345 |
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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