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MA

Mark A. Ammerman

WOODROCK SECURITIES, L.P.
Houston, TX 77027
Some features on this profile are disabled
CRD#: 4474263
MA

Professional summary

Mark Alan Ammerman is a registered financial professional currently at WOODROCK SECURITIES, L.P. located in Houston, Texas.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2014. Mark has worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Mark Alan Ammerman's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

April 27, 2018 - Present

WOODROCK SECURITIES, L.P.

Office #1: 4265 San Felipe Street, Suite 600, Houston, TX 77027
BD
CRD#: 133653
Houston, TX
Past

December 2, 2014 - May 9, 2016

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(8/24/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/24/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 12/2/2014
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WS
WOODROCK SECURITIES, L.P.
WOODROCK SECURITIES, L.P.

CRD#: 133653 / SEC#: , 8-66753

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
4265 San Felipe Street, Suite 600, Houston, TX 77027
Mailing Address
4265 San Felipe Street, Suite 600, Houston, TX 77027
Phone number
(713) 654-0912
Established
Texas since 12/28/2003
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WOODROCK LLCLIMITED PARTNER
DENNIS, JOHN PURNELL IIIDESIGNATED PRINCIPAL/CO-CCO2038115
NUNN, RICHARD ANDREWFINOP/ CHIEF FINANCIAL OFFICER/CO-CCO1016528
WOODROCK HOLDINGS GP, LLCGENERAL PARTNER

Disclosures

Regulatory Event2

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.

Company Information

WOODROCK SECURITIES, L.P.

CRD#: 133653Houston, TX 77027

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