Chas A. Woodward
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.
Chas Anderson Woodward was a registered financial professional .
Chas is a previously registered financial professional and started their career in finance in 2011. Chas had worked at 2 firms and has passed the SIE, Series 7, Series 79, Series 48 and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2018 - August 24, 2020
MOELIS & COMPANY LLC
April 8, 2011 - October 6, 2014
GROUP ONE TRADING LLC
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 48
Date: 2/3/2012
AMEX Market Maker ExamSeries 56
Date: 8/4/2011
Proprietary Trader Qualification ExaminationCurrent Firm
MOELIS & COMPANY LLC
CRD#: 145115 / SEC#: , 8-67705
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOELIS & COMPANY GROUP LP | PARENT COMPANY | |
| CALLESANO, CHRIS PETER | CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4889259 |
| MAHMOODZADEGAN, NAVID ALI | CHIEF EXECUTIVE OFFICER | 2609804 |
| MOELIS, KENNETH DAVID | EXECUTIVE CHAIRMAN | 1015047 |
| PILCHER CIAFONE, KATHERINE CELY | CHIEF OPERATING OFFICER | 4573006 |
| RAICH, JEFFREY ALAN | EXECUTIVE VICE CHAIRMAN | 2016620 |
| WATANABE, OSAMU RICHARD | CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | 2875185 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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