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Stephen Kent Woodruff

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Information

Firm:
Type: Dual Registration
Description

Stephen Woodruff is a financial professional at AXA Advisors, LLC, a broker-dealer with over 5,350 registered representatives nationwide. Stephen has held an industry securities registration for 33 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
AXA Advisors, LLC 15 years, 3 months Sep 1999 - Present
Exams
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 Guides

0 Answers and 0 Financial Guides

Top Answers

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

Top Guides

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

Firm Client Types

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

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

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
10/03/2014
08/08/2013
*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

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees