Neil Charles Woods
Professional Summary
Neil Charles Woods is a registered financial advisor currently at SOFI SECURITIES LLC located in Greenville, Delaware. Neil is registered as a RR (Registered Representative) and started their career in finance in 2009. Neil has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 11 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
17 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BOHICA SECURITIES LLC | SOFI SECURITIES LLC
Contact Information
Main Address
234 1st Street, San Francisco, CA 94105Mailing Address
234 1st Street, San Francisco, CA 94105Phone Number
(855) 525-7634Established
New York since 08/04/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
2Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(4/22/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 11 — Assistant Representative-Order Processing Qualification Exam
Passed Aug 2009SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Neil Charles Woods's CRS (Customer Relationship Summary).
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