John R. Woog
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 Robert Woog, who also goes by John R Woog, John Woog, Johnny Woog, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2014. John had worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2022 - July 3, 2023
SI SECURITIES, LLC
September 20, 2021 - May 26, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 9, 2014 - March 7, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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 7TO
Date: 9/20/2021
General Securities Representative ExaminationCurrent Firm
SI SECURITIES, LLC
CRD#: 170937 / SEC#: , 8-69440
Contact information
FINRA licenses (53 States and Territories)
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
