Curtis R. Woodworth
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.
Curtis Rogers Woodworth, who also goes by Curtis Rogers Woodworth, was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1999. Curtis had worked at 8 firms and has passed the Series 63, SIE, Series 87 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
December 4, 2024 - March 12, 2025
BARCLAYS CAPITAL INC.
October 31, 2023 - September 25, 2024
UBS SECURITIES LLC
September 2, 2015 - September 29, 2023
CREDIT SUISSE SECURITIES (USA) LLC
October 17, 2011 - September 4, 2015
NOMURA SECURITIES INTERNATIONAL, INC.
March 12, 2009 - July 27, 2011
MACQUARIE CAPITAL (USA) INC.
October 1, 2008 - December 17, 2008
J.P. MORGAN SECURITIES LLC
May 1, 2001 - October 1, 2008
J.P. MORGAN SECURITIES INC.
November 23, 1999 - May 1, 2001
JPMSI
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
BARCLAYS CAPITAL INC.
CRD#: 19714 / SEC#: 801-69700, 8-41342
Contact information
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARCLAYS GROUP US INC. | OWNS BARCLAYS CAPITAL INC. | |
| ABREU, JULIAN JAVIER | ROSFP - PRIME SERVICES | 5160018 |
| JAISING, RAHUL | ROSFP - PRIME SERVICES | 4754959 |
| MATHIS, CAROL PEDERSEN | PRINCIPAL FINANCIAL OFFICER | 4322657 |
| MAYER, ANTHONY EDWARD | CHIEF RISK OFFICER | 8132690 |
| MOGAVERO, ANDREW MICHAEL | CHIEF EXECUTIVE OFFICER | 3247485 |
| O'CONNOR, CLAIRE SCHOLZ | BOARD DIRECTOR | 1907247 |
| ROGOFF, BRADLEY WAYNE | HEAD OF RESEARCH | 4569545 |
| SMITH, JULIETTE SARA | CHIEF LEGAL OFFICER | 5696210 |
| WESTWOOD, JAI | PRINCIPAL OPERATIONS OFFICER | 4611538 |
| ZACHARIA, ZACHARIA | CHIEF COMPLIANCE OFFICER | 2440444 |
Disclosures
| Regulatory Event | 142 |
| Civil Event | 4 |
Red Flags
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