Charles H. Woodworth
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.
Charles Hamlin Woodworth JR, who also goes by Chuck Woodworth Jr, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1976. Charles had worked at 17 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2004 - April 4, 2005
STG SECURE TRADING GROUP, INC.
November 3, 2003 - June 27, 2005
TERRANOVA CAPITAL EQUITIES, INC
December 1, 2001 - March 5, 2003
SOURCE CAPITAL GROUP, INC.
August 17, 2001 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
April 28, 2000 - August 13, 2001
PRUDENTIAL EQUITY GROUP, LLC
October 1, 1997 - April 3, 2000
BANC OF AMERICA SECURITIES LLC
February 25, 1997 - October 1, 1997
MONTGOMERY SECURITIES
September 21, 1994 - March 14, 1997
UBS FINANCIAL SERVICES INC.
January 29, 1991 - September 30, 1994
KIDDER, PEABODY & CO. INCORPORATED
November 1, 1989 - February 12, 1991
CITIGROUP GLOBAL MARKETS INC.
July 11, 1989 - October 6, 1989
NEWHARD, COOK & CO. INCORPORATED
April 13, 1989 - October 23, 1989
LCP CAPITAL CORP.
July 19, 1988 - April 17, 1989
FAIRFIELD RESEARCH SECURITIES CORPORATION
February 9, 1987 - June 10, 1988
PROFESSIONAL BROKERAGE SERVICES INC.
January 28, 1987 - April 5, 1988
L T SECURITIES, INC.
May 24, 1978 - January 16, 1987
CITIGROUP GLOBAL MARKETS INC.
September 16, 1977 - June 1, 1978
PRUDENTIAL EQUITY GROUP, LLC
September 29, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
May 20, 1976 - April 10, 1978
INDEPENDENT FINANCIAL PLANNERS CORPORATION
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 5
Date: 10/14/1981
Interest Rate Options ExaminationCurrent Firm
STG SECURE TRADING GROUP, INC.
CRD#: 41216 / SEC#: , 8-49329
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEINER, ALAN DAVID MR. | PRESIDENT | 2537809 |
| SPG OPPORTUNITY FUND LTD | SHAREHOLDER |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
