Matthew C. Woodard
Professional summary
Matthew Charles Woodard was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Matthew is a previously registered financial advisor and started their career in finance in 2009. Prior to being barred, Matthew had worked at 3 firms, which includes CONCOURSE FINANCIAL GROUP SECURITIES INC., LPL FINANCIAL LLC, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2013 - September 16, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 9, 2012 - July 15, 2013
LPL FINANCIAL LLC
April 2, 2012 - July 15, 2013
LPL FINANCIAL LLC
October 7, 2009 - April 14, 2011
MSI FINANCIAL SERVICES, INC.
August 26, 2009 - April 14, 2011
MSI FINANCIAL SERVICES, INC.
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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
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