Stephen J. Woods

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CRD#: 4390407

Professional summary

Stephen John Woods was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stephen is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Stephen had worked at 14 firms, which includes PHX FINANCIAL INC., LEGEND SECURITIES INC., SIXTEEN SECURITIES INC., BROOKVILLE CAPITAL PARTNERS, GLOBAL ARENA CAPITAL CORP, SPARTAN CAPITAL SECURITIES LLC, B.B. GRAHAM & COMPANY INC., J.D. NICHOLAS & ASSOCIATES INC., CLARK DODGE & CO. INC., JHS CAPITAL ADVISORS LLC, VISION SECURITIES INC., JOHN NISLER SOLE PROPRIETOR, JBS SECURITIES CORP., KEVIN G. BOYLE SECURITIES INC..

Question & Answer

Are you a "fiduciary"?

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

December 12, 2016 - January 3, 2018

PHX FINANCIAL, INC.

CRD#: 144403

Hauppauge, NY

Past

April 3, 2015 - December 13, 2016

LEGEND SECURITIES, INC.

CRD#: 44952

Melville, NY

Past

March 13, 2015 - March 20, 2015

SIXTEEN SECURITIES, INC.

CRD#: 104025

Melville, NY

Past

August 7, 2014 - March 13, 2015

BROOKVILLE CAPITAL PARTNERS

CRD#: 102380

Melville, NY

Past

June 24, 2014 - August 18, 2014

GLOBAL ARENA CAPITAL CORP

CRD#: 16871

MELVILLE, NY

Past

September 18, 2013 - July 3, 2014

BROOKVILLE CAPITAL PARTNERS

CRD#: 102380

Melville, NY

Past

July 2, 2012 - September 10, 2013

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251

NEW YORK, NY

Past

May 24, 2012 - July 25, 2012

B.B. GRAHAM & COMPANY, INC.

CRD#: 41533

MELVILLE, NY

Past

September 14, 2011 - June 8, 2012

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251

NEW YORK, NY

Past

June 1, 2011 - October 11, 2011

J.D. NICHOLAS & ASSOCIATES, INC.

CRD#: 44791

SYOSSET, NY

Past

November 14, 2008 - July 9, 2010

J.D. NICHOLAS & ASSOCIATES, INC.

CRD#: 44791

SYOSSET, NY

Past

April 21, 2008 - November 18, 2008

CLARK DODGE & CO., INC.

CRD#: 23288

GARDEN CITY, NY

Past

December 6, 2006 - April 21, 2008

JHS CAPITAL ADVISORS, LLC

CRD#: 112097

BETHPAGE, NY

Past

June 9, 2006 - December 6, 2006

VISION SECURITIES INC.

CRD#: 35001

MELVILLE, NY

Past

January 24, 2005 - February 7, 2005

JOHN NISLER, SOLE PROPRIETOR

CRD#: 133842

NEW YORK, NY

Past

March 26, 2003 - April 27, 2004

JBS SECURITIES CORP.

CRD#: 37458

NEW YORK, NY

Past

April 23, 2001 - March 26, 2003

KEVIN G. BOYLE SECURITIES, INC.

CRD#: 40190

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

State Security Law Exam

Series 63

Date: 8/3/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 25

Date: 3/10/2003

NYSE Trading Assistant Examination

General Industry/Product Exam

Series 7

Date: 12/2/2002

General Securities Representative Examination

Current Firm

PHX FINANCIAL, INC.

BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

100 Wall Street Floor 10, New York, NY 10005

Mailing Address

100 Wall Street Floor 10, New York, NY 10005

Phone number

(212) 776-4187

Established

Florida since 12/27/2006

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LP	PARENT OF BROKER DEALER
CHEN, KEVIN	CEO	4871316
GILMAN, ROBERT CRAIG	FINOP - PFO	1738412
MONTANA, JOSEPH RYAN	ROSFP, MSRB PRINCIPAL	5640919
OTOYA, DANIEL ORLANDO	CHIEF COMPLIANCE OFFICER	2208241

Disclosures

Regulatory Event	4
Arbitration	2

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Stephen J. Woods

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LEGEND SECURITIES, INC.

SIXTEEN SECURITIES, INC.

BROOKVILLE CAPITAL PARTNERS

GLOBAL ARENA CAPITAL CORP

BROOKVILLE CAPITAL PARTNERS

SPARTAN CAPITAL SECURITIES, LLC

B.B. GRAHAM & COMPANY, INC.

SPARTAN CAPITAL SECURITIES, LLC

J.D. NICHOLAS & ASSOCIATES, INC.

J.D. NICHOLAS & ASSOCIATES, INC.

CLARK DODGE & CO., INC.

JHS CAPITAL ADVISORS, LLC

VISION SECURITIES INC.

JOHN NISLER, SOLE PROPRIETOR

JBS SECURITIES CORP.

KEVIN G. BOYLE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/3/2006

SIE

Date: 1/3/2018

Series 25

Date: 3/10/2003

Series 7

Date: 12/2/2002

Current Firm

PHX FINANCIAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PHX FINANCIAL, INC.

TRUST BUT VERIFY

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