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Denys Wortman

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CRD#: 472960
DW

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.

Denys Wortman was a registered financial professional .

Denys is a previously registered financial professional and started their career in finance in 1970. Denys had worked at 6 firms and has passed the Series 63, SIE, PC, Series 1 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 2, 1990 - December 31, 2020

WOOD (ARTHUR W.) COMPANY, INC.

BD
CRD#: 3798
BOSTON, MA
Past

March 17, 1988 - January 3, 1990

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

April 8, 1985 - March 15, 1988

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908
Past

February 4, 1983 - April 24, 1985

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

March 29, 1982 - January 18, 1983

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

July 11, 1979 - February 20, 1982

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908
Past

September 16, 1970 - August 18, 1979

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/6/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
PC
Date: 7/1/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 3/3/1967
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/13/1977
Registered Options Principal Examination

Current Firm

W(
WOOD (ARTHUR W.) COMPANY, INC.
ARTHUR W. WOOD COMPANY | WOOD (ARTHUR W.) COMPANY, INC. | THE NEW ENGLAND COMPANY | ARTHUR WOOD INVESTMENT ADVISORS | ARTHUR W. WOOD COMPANY, INC.

CRD#: 3798 / SEC#: , 8-3368

BD
Approved by SEC on 01/01/1936
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 09/01/1899
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MCCARTHY, DONALD PHILIPDIRECTOR, PRESIDENT/CEO, CCO858923

Disclosures

Regulatory Event10

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.

Company Information

WOOD (ARTHUR W.) COMPANY, INC.

CRD#: 3798

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