Anthony F. Woodside
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.
Anthony F Woodside, CFA, who also goes by Anthony Woodside, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2006. Anthony had worked at 2 firms and has passed the Series 66, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2006 - April 13, 2021
NEUBERGER BERMAN BD LLC
October 16, 2006 - April 13, 2021
NEUBERGER BERMAN BD LLC
September 20, 2006 - October 19, 2006
LEHMAN BROTHERS INC.
September 1, 2006 - October 19, 2006
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
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 7TO
Date: 1/6/2024
General Securities Representative ExaminationCurrent Firm
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| Arbitration | 5 |
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.
