Brian Michael Woods

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NV	RA	APPROVED	2022-04-19
MA	RA	APPROVED	2021-05-25
TX	RA	APPROVED	2021-04-30

NV RA
APPROVED

Since 2022-04-19
MA RA
APPROVED

Since 2021-05-25
TX RA
APPROVED

Since 2021-04-30

Branch Locations

Henderson, NV • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Brian Woods Financial Services	Topsfield	MA	10/1991	Present
Voya Financial Advisors	Danvers	MA	10/2015	04/2021
Lpl Financial, Llc	Danvers	MA	04/2021	Present

10/1991 → Present

Brian Woods Financial Services

Topsfield, MA
10/2015 → 04/2021

Voya Financial Advisors

Danvers, MA
04/2021 → Present

Lpl Financial, Llc

Danvers, MA

Previous Registrations

2015-11-09 → 2021-05-04

Voya Financial Advisors, Inc.

Windsor, CT

Danvers, MA

Windsor, CT

Windsor, CT
2005-06-16 → 2015-11-30

Investors Capital Corp.

Wenham, MA

Barrington, NH

Danvers, MA

Westborough, MA

East Greenwich, RI

Lynnfield, MA

Lynnfield, MA
2014-02-24 → 2015-11-04

The Capital Advisory Group Advisory Services, Llc

Danvers, MA
2001-01-01 → 2005-06-16

Eastern Point Advisors Inc.

Wenham, MA

Other Businesses

1) 6/1991 - Non-Variable Insurance - BRIAN M WOODS FINANCIAL SERVICES - Investment Related - Danvers, MA 01923 2) 6/1991 - DBA for LPL Business (entity for LPL business) - BRIAN M WOODS FINANCIAL SERVICES - Investment Related - Danvers, MA 01923 3) 8/2017 - Business Entity For Tax/Investment Purposes Only - B&B WOODS GROUP, INC - Investment Related - Danvers, MA 01923

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-02-02
S63	Uniform Securities Agent State Law Examination	1993-07-08

S65 Uniform Investment Adviser Law Examination

1995-02-02
S63 Uniform Securities Agent State Law Examination

1993-07-08

Other Names

Brian M Woods

View on SEC IAPD