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DW

Donald S. Woods

Some features on this profile are disabled
CRD#: 727894
DW

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.

Donald Stephen Woods, who also goes by Don Stephan Woods, Don Stephen Woods, Donald S Woods, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1981. Donald had worked at 9 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Don Stephan Woods | Don Stephen Woods | Donald S Woods

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 13, 2017 - October 4, 2018

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

RIA
CRD#: 8478
Louisville, KY
Past

December 22, 2016 - January 3, 2017

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

RIA
CRD#: 8478
Louisville, KY
Past

December 22, 2016 - August 15, 2018

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

BD
CRD#: 8478
Louisville, KY
Past

July 1, 2010 - January 20, 2017

LPL FINANCIAL LLC

RIA
CRD#: 6413
LOUISVILLE, KY
Past

July 1, 2010 - January 20, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
LOUISVILLE, KY
Past

December 10, 2008 - May 28, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
LOUISVILLE, KY
Past

November 26, 2008 - May 28, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
LOUISVILLE, KY
Past

June 2, 2008 - October 15, 2008

PEAK AMERICAN INVESTMENT ADVISORS, INC.

RIA
CRD#: 145056
LOUISVILLE, KY
Past

May 7, 2004 - September 2, 2005

MONEY CONCEPTS CAPITAL CORP

RIA
CRD#: 12963
LOUISVILLE, KY
Past

March 3, 2004 - September 2, 2005

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past

February 9, 2000 - January 6, 2004

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

October 31, 1994 - February 3, 2000

WEDGEWOOD PARTNERS, INC.

BD
CRD#: 21923
ST. LOUIS, MO
Past

May 2, 1991 - November 1, 1994

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past

May 8, 1985 - May 17, 1989

J.C. BRADFORD & CO.

BD
CRD#: 1287
Past

February 23, 1981 - February 1, 1984

ALMSTEDT BROTHERS, INC.

BD
CRD#: 31
Past

February 23, 1981 - May 17, 1989

J.C. BRADFORD & CO.

BD
CRD#: 1287
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/18/2008
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/9/2008
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/15/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/2008
General Securities Representative Examination

Current Firm

TS
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | TRILOGY WEALTH MANAGEMENT | THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. INSURANCE AGENCY | THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. | THURSTON, SPRINGER, MILLER & HERD, INC. | THURSTON, SHUMAKER, MILLER & BURKE, INCORPORATED | THURSTON, MILLER & BURKE, INC. | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | SPRAWLS FINANCIAL | SPENCER FINANCIAL STRATEGIES | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | LIBERTY CONSULTING | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | DAMER WEALTH MANAGEMENT | CRAVENS, LLC | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BAYLEY INVESTMENT GROUP | BALDASSARI ADVISORY | AMERICAN PENSION ADVISORS

CRD#: 8478 / SEC#: 801-63564, 8-25452

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240
Mailing Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240-2142
Phone number
(317) 581-4000
Established
Indiana since 09/12/1980
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
FINANCIAL SERVICES HOLDINGS, LLCSOLE SHAREHOLDER
COKER, KAREN LE'ELLENCHIEF RISK OFFICER2731928
MUELLER, CHRISTOPHER BRIANCHIEF OPERATIONS OFFICER2098597
PARKER, RICHARD WILSONCEO5497397
REYNOLDS, MATTHEW MARKPRESIDENT / FINOP / PFO / POO/CCO4077413
RUDNICK, REGINA MARYHEAD OF ADVISOR SERVICES2373530
TAYLOR, CHRISTIAN GABRIELCHIEF COMPLIANCE OFFICER5462381
TITAK, JAMES JOHNCHAIRMAN OF THE BOARD1008441

Disclosures

Regulatory Event3

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.

Company Information

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

CRD#: 8478

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