Dean S. Woodman
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.
Dean Stuart Woodman was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1956. Dean had worked at 6 firms and has passed the Series 63, Series 000 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 1989 - November 13, 1998
ABN AMRO SECURITIES LLC
February 3, 1983 - October 10, 1984
WOODMAN, KIRKPATRICK & GILBREATH
December 7, 1978 - January 5, 1983
ROBERTSON, STEPHENS & COMPANY LLC
September 26, 1978 - December 29, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 8, 1956 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
April 5, 1956 - April 25, 1988
HAMBRECHT & QUIST LLC
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 000
Date: 4/5/1956
General Securities Principal ExaminationSeries 40
Date: 12/26/1978
Registered Principal ExaminationCurrent Firm
ABN AMRO SECURITIES LLC
CRD#: 6540 / SEC#: , 8-17741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ABN AMRO INCORPORATED | SOLE STOCKHOLDER | |
| BANNISTER, NICHOLAS WILLIAM AYRTON | CHAIRMAN | 1237161 |
| CAMERINO, CHRISTIAN MARCUS | CHIEF COMPLIANCE OFFICER | 2875865 |
| EGAN, JOHN KELLY | CHIEF FINANCIAL OFFICER | 1088625 |
| EGERT, MARK A | CHIEF LEGAL OFFICER | 2953843 |
| GESLAK, MICHAEL PETER | COUNTRY ADMINISTRATIVE OFFICER, DIRECTOR | 4307248 |
| WITT, BEN ANTHONY | PRESIDENT & CEO, DIRECTOR | 470739 |
Disclosures
| Regulatory Event | 18 |
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.
