John H. Diesel
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.
John Henry Diesel, who also goes by Hank Diesel, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2006. John had worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2006 - June 8, 2015
WOODROCK SECURITIES, L.P.
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 28
Date: 7/24/2007
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
WOODROCK SECURITIES, L.P.
CRD#: 133653 / SEC#: , 8-66753
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
