William K. Woodruff
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.
William Keys Woodruff III, who also goes by William Keys Woodruff, William Keys III Woodruff, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1969. William had worked at 11 firms and has passed the Series 63, Series 65, Series 99TO, Series 7TO, Series 79TO, Series 79, Series 1, Series 14, Series 24, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2021 - July 23, 2024
WILLIAM K. WOODRUFF & CO., LLC
December 11, 2020 - July 28, 2021
ALAMO CAPITAL
May 3, 2013 - August 2, 2016
WKW PARTNERS, LLC
October 4, 2010 - February 25, 2011
TITAN SECURITIES
February 1, 1982 - April 6, 1998
WILLIAM K. WOODRUFF & COMPANY INCORPORATED
July 14, 1978 - December 21, 1981
CARDINAL TRADING
February 22, 1978 - July 6, 1978
LEHMAN BROTHERS KUHN LOEB INCORPORATED
July 29, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
November 10, 1975 - February 14, 1977
SALOMON BROTHERS INC.
December 14, 1971 - December 14, 1975
LEHMAN BROTHERS INCORPORATED
May 6, 1971 - November 21, 1971
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 8, 1969 - May 16, 1971
ENTERPRISE FUND DISTRIBUTORS, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 12/4/2020
General Securities Representative ExaminationSeries 79TO
Date: 7/21/2020
Investment Banking Registered Representative ExaminationSeries 1
Date: 8/5/1969
Registered Representative ExaminationCurrent Firm
WILLIAM K. WOODRUFF & CO., LLC
CRD#: 313177 / SEC#: , 8-70679
Contact information
Documents
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.
