James J. Woodcock
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.
James Joseph Woodcock was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 13 firms and has passed the Series 63, Series 3, Series 5, PC, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2002 - June 25, 2012
CAROLINA FINANCIAL SECURITIES, LLC
February 21, 1995 - May 1, 2002
STIFEL INDEPENDENT ADVISORS, LLC
October 3, 1994 - March 3, 1995
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 3, 1993 - October 3, 1994
STATEWIDE SECURITIES GROUP, INC.
January 10, 1992 - February 9, 1993
GKB, INC.
June 6, 1989 - January 15, 1992
UBS FINANCIAL SERVICES INC.
February 1, 1988 - June 17, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
June 30, 1986 - February 5, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
February 4, 1986 - June 16, 1986
WILLIAMS SECURITIES GROUP, INC.
September 16, 1977 - November 1, 1985
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
September 21, 1971 - February 27, 1976
BACHE & CO., INCORPORATED
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 5
Date: 10/17/1983
Interest Rate Options ExaminationPC
Date: 9/13/1977
AMEX Put and Call ExamSeries 1
Date: 9/8/1971
Registered Representative ExaminationSeries 40
Date: 11/20/1975
Registered Principal ExaminationSeries 12
Date: 11/17/1975
NYSE Branch Manager ExaminationCurrent Firm
CAROLINA FINANCIAL SECURITIES, LLC
CRD#: 41970 / SEC#: , 8-49653
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory Event | 5 |
Red Flags
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