Jacqueline Woodruff
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.
Jacqueline Woodruff, who also goes by Jacqueline Louise Karamzadeh, Jackie Louise Thorne, Jacqueline Louise Thorne, Jacqueline Louise Woodruff, was a registered financial professional .
Jacqueline is a previously registered financial professional and started their career in finance in 2001. Jacqueline had worked at 12 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2021 - March 19, 2021
MODERN CAPITAL ADVISORS, LLC
January 4, 2021 - March 19, 2021
MODERN CAPITAL SECURITIES INC.
January 4, 2021 - March 19, 2021
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
September 11, 2017 - December 31, 2020
HARBOUR INVESTMENTS, INC.
September 11, 2017 - December 31, 2020
HARBOUR INVESTMENTS, INC.
April 10, 2015 - August 9, 2017
GROVE POINT INVESTMENTS, LLC
March 30, 2015 - August 9, 2017
GROVE POINT INVESTMENTS, LLC
November 25, 2014 - March 27, 2015
ALLSPRING FUNDS DISTRIBUTOR, LLC
August 7, 2013 - September 8, 2014
B. C. ZIEGLER AND COMPANY
August 6, 2013 - September 8, 2014
B. C. ZIEGLER AND COMPANY
March 1, 2013 - July 19, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
February 28, 2013 - July 19, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
November 14, 2011 - August 23, 2012
U.S. BANCORP INVESTMENTS, INC.
November 14, 2011 - August 23, 2012
U.S. BANCORP INVESTMENTS, INC.
July 2, 2010 - August 4, 2011
BMO HARRIS FINANCIAL ADVISORS, INC.
July 2, 2010 - August 4, 2011
BMO HARRIS FINANCIAL ADVISORS, INC.
August 21, 2009 - September 30, 2010
AMCORE INVESTMENT SERVICES, INC
December 14, 2004 - September 30, 2010
AMCORE INVESTMENT SERVICES, INC
May 30, 2001 - November 5, 2001
EDWARD JONES
Primary Firm SEC Registration
MODERN CAPITAL ADVISORS, LLC
CRD#: 131117 / SEC#: 801-72611
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
MODERN CAPITAL ADVISORS, LLC
CRD#: 131117 / SEC#: 801-72611
Contact information
SEC notice filing (37 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,561 |
| AUM (Assets Under Management) | $ 285,401,221 |
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.
