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Stephen Kent Woodruff

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Type: SEC and FINRA Registered

Stephen Woodruff is a financial professional at AXA Advisors, LLC, a broker-dealer with over 5,200 registered representatives nationwide. Stephen has held an industry securities registration for 33 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
AXA Advisors, LLC 16 years, 3 months Sep 1999 - Present
ExamSeriesPassed Date
General Securities Representative ExaminationSeries 7 08/09/1999
Uniform Investment Adviser Law ExaminationSeries 65 02/05/1996
Uniform Securities Agent State Law ExaminationSeries 63 06/04/1990
Direct Participation Programs Representative ExaminationSeries 22 01/03/1990
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 12/30/1980

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

Stephen Kent Woodruff has not answered any questions on Financial Q&A.

Top Articles

Stephen Kent Woodruff has not contributed any Financial Articles.
*Answers and articles are provided without compensation.

Firm Client Types

High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

License Status

1 Customer Dispute

1 Customer Dispute

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees