Sage B. 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.
Sage Barton Woodward, who also goes by Sage Woodward, was a registered financial professional .
Sage is a previously registered financial professional and started their career in finance in 2018. Sage had worked at 2 firms and has passed the Series 66, SIE 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 9, 2019 - February 5, 2020
ROUND ROCK ADVISORS LLC
October 17, 2018 - September 5, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 2018 - September 5, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
ROUND ROCK ADVISORS LLC
CRD#: 286007 / SEC#: 801-108989
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
ROUND ROCK ADVISORS LLC
CRD#: 286007 / SEC#: 801-108989
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,126 |
| AUM (Assets Under Management) | $ 814,558,622 |
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.
