Bernard L. Woody
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.
Bernard Lee Woody was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 1970. Bernard had worked at 8 firms and has passed the Series 63, 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
August 26, 1991 - June 2, 1992
DICKINSON & CO.
May 29, 1990 - July 23, 1991
JJC SECURITIES CO., INC.
February 21, 1990 - May 21, 1990
ADVEST, INC.
December 11, 1987 - October 18, 1989
PIPER SANDLER & CO.
July 16, 1986 - November 9, 1987
HANIFEN, IMHOFF INC.
June 16, 1976 - November 5, 1986
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 15, 1975 - July 19, 1976
WHITE, WELD & CO. INCORPORATED
September 1, 1970 - January 15, 1975
G. H. WALKER, LAIRD 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 1
Date: 2/8/1960
Registered Representative ExaminationSeries 40
Date: 2/25/1970
Registered Principal ExaminationSeries 12
Date: 7/3/1968
NYSE Branch Manager ExaminationCurrent Firm
DICKINSON & CO.
CRD#: 689 / SEC#: , 8-7503
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.
