William F. Woodall
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.
William Franklin Woodall, who also goes by William F Woodall, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2001. William had worked at 4 firms and has passed the Series 65, Series 63 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
August 29, 2014 - March 22, 2024
CAP STRAT
January 13, 2004 - June 1, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - June 1, 2009
WELLS FARGO CLEARING SERVICES, LLC
May 19, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 25, 2001 - May 22, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CAP STRAT
CRD#: 150091 / SEC#: 801-70212
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
CAP STRAT
CRD#: 150091 / SEC#: 801-70212
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,069 |
| AUM (Assets Under Management) | $ 21,292,246,925 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
