Mahmoud Hassan
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.
Mahmoud Hassan was a registered financial professional .
Mahmoud is a previously registered financial professional and started their career in finance in 2009. Mahmoud had worked at 8 firms and has passed the 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
March 5, 2014 - April 30, 2014
WOODSTOCK FINANCIAL GROUP, INC.
May 7, 2013 - June 19, 2013
WINDSOR STREET CAPITAL, LP
February 6, 2013 - May 16, 2013
OLSON, CROSS & ALAMO LLC
April 30, 2012 - December 5, 2012
OLSON, CROSS & ALAMO LLC
February 3, 2012 - April 30, 2012
CHARLES MORGAN SECURITIES, INC.
September 12, 2011 - February 13, 2012
OBSIDIAN FINANCIAL GROUP, LLC
May 3, 2011 - May 25, 2011
DIMENSION TRADING GROUP, LLC
August 5, 2010 - December 13, 2010
ALEXANDER CAPITAL, L.P.
October 12, 2009 - July 1, 2010
PRESTIGE FINANCIAL CENTER, INC.
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
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
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.
