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Disclosures | Woodbury Financial. Woodbury Financial Services. Inc. is committed to supplying clients with the information they need to make informed investment decisions. On this page you will find important information that you may wish to consider when making investments with your Woodbury financial professional.
The Securities & Exchange Commission (SEC) adopted Rule 606 (formerly SEC 11Ac1-6) of the Securities Exchange Act. Rule 606 requires Woodbury Financial to comply with four primary disclosure elements: 1.) to make publicly available quarterly reports that present a general overview of order routing practices; 2.) to disclose the nature of any relationship it has with venues that it routes …
Indirect Compensation. Woodbury Financial Services, Inc. (“Broker-Dealer”) offers a range of investments and services to its clients. Woodbury Financial Services, Inc. is also dually registered as an investment adviser (“RIA”). Woodbury Financial Services, Inc. is a subsidiary of Advisor Group, Inc. (“Advisor Group”).
Advisory programs offered by FSC Securities Corporation, Royal Alliance Associates, Inc., SagePoint Financial, Inc., and Woodbury Financial Services, Inc., are sponsored by VISION2020 Wealth Management Corp., an affiliated registered investment adviser. Advisor Group, Inc. is an affiliate of these firms.
General Inquiries: 800-800-2638. Advisor Selection: 888-388-7773. 7755 3rd Street North. Oakdale, MN 55128. If you are an existing financial professional interested in joining our firm, please complete the form below. All information is confidential.
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23/01/2018 · Woodbury Financial Services (CRD#: 421) is a registered brokerage firm based in Oakdale, Minnesota. Currently, this company is registered to operate in 52 U.S. states and American territories. As of early January of 2018, there are 24 reported disclosures on this firm’s industry profile. This includes 17 regulatory events and 6 FINRA Arbitration cases.
18/08/2021 · Woodbury Financial Services, registered in 1997, serves 53 state(s) with a licensed staff of 1,311 advisors. Woodbury Financial Services manages $15.6 billion and provides investment advisory services for 51,727 clients (1:40 advisor/client ratio).
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