Stephen R. Woods
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.
Stephen Rhea Woods was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1978. Stephen had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2010 - August 26, 2011
RESOURCE INVESTMENT ADVISORY
June 12, 1997 - December 31, 2019
OSAIC WEALTH, INC.
November 19, 1989 - December 31, 2019
OSAIC WEALTH, INC.
October 10, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 5, 1984 - October 17, 1986
FSC SECURITIES CORPORATION
October 15, 1981 - February 27, 1984
SOUTHMARK FINANCIAL SERVICES, INC.
March 27, 1978 - September 19, 1981
WADDELL & REED
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 1
Date: 3/17/1978
Registered Representative ExaminationCurrent firm
No current employment
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.
