Did you suffer investment losses with Woodbury Financial Services (CRD# 421) (SEC# 801-54905, 8-13846)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Woodbury Financial Services. If you suffered losses investing with Woodbury Financial Services, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
As of May 5, 2020, Woodbury Financial Services’s FINRA BrokerCheck Report contains the following:
21 Regulatory Event Disclosures
7 Arbitration Disclosures
1 Bond Disclosures
UPDATE 4/6/2020: Woodbury Financial Services is listed as a sales compensation recipient for GPB Capital Holdings private placements. Bad news continues to pile up for investors of GPB Capital Holdings private placements. If you are concerned about investment losses in a GPB Capital Holdings private placement with Woodbury Financial Services and would like a Free Consultation, then please contact us today.
Main Office Location
Mailing Address
Business Telephone Number
800-800-2638
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Woodbury Financial Services’s Direct Owners and Executive Officers
ADVISOR GROUP, INC., SHAREHOLDER
FERGESEN, RICHARD DAVID (CRD#:717938), DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT
GULDNER, ROBERT JOHN (CRD#:2283980), CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY
HAMEL, CYNTHIA ANN (CRD#:3014361), CHIEF OPERATIONS OFFICER, EVP
HARBORT, AMY MARIE (CRD#:4119927), VICE PRESIDENT, CHIEF COMPLIANCE OFFICER
PRICE, JAMES DALE (CRD#:1243224), CHAIRMAN, DIRECTOR
SCHLUETER, MATTHEW ADAM (CRD#:2627931), DIRECTOR, EVP
SCHMIDT, DAVID MARTIN (CRD#:5675524), PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, TREASURER AND FNOP
SIDLO, THOMAS BLAKE (CRD#:1012276), MUNICIPAL PRINCIPAL
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Due Diligence Requirement
FINRA requires broker-dealers to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. FINRA Rule 2111(a) states that “a member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile. A customer’s investment profile includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the customer may disclose to the member or associated person in connection with such recommendation.”
Rule 2111 is composed of three main obligations: reasonable-basis suitability, customer-specific suitability, and quantitative suitability. Broker-Dealers that fail to conduct adequate due diligence on investments they recommend or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Request a Free Consultation with a Securities Attorney
If you suffered losses investing with Woodbury Financial Services and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
Formerly Known As, Aliases, and Affiliates
ADVANCE FINANCIAL SERVICES,ALLEN FINANCIAL ADVISEMENT,ALLIANCE FIANNCIAL SERVICES,ALLIANCE FINANCIAL SERVICES INVESTMENT AND RETIREMENT ADVISORS,ALPHA WEALTH ADVISORS, LLC,ALPINE PLANNING GROUP,AMERICAN FINANCIAL SERVICES,AMEV INVESTORS, INC.,ATLAS FINANCIAL PLANNING,ATRIUM WEALTH ADVISORS,BERNSTEIN FINANCIAL GROUP,BETTINGER FINANCIAL,BLUE PACIFIC ADVISORS,BLUEBIRD WEALTH PARTNERS,BRACKER WEALTH MANAGEMENT,BROOKSTONE WEALTH STRATEGIES,BRUCE GEIGER WFS,BULLISH BAER,BUNKER FINANCIAL SOLUTIONS,CALDERWOOD FINANCIAL STRATEGIES,CAPITAL HARVEST WEALTH PARTNERS,CENTERPOINT FINANCIAL SERVICES,CHRIS RHYNE FINANCIAL MANAGEMENT,CIRCLE CITY WEALTH ADVISORS,CLEAR DIRECTION INVESTMENTS,CML WEALTH MANAGEMENT,COLLABORATIVE WEALTH STRATEGIES,COMPREHENSIVE WEALTH SOLUTIONS,CONKIN FINANCIAL GROUP,CONSULTANTS IN WEALTH MANAGEMENT,CORNERSTONE WEALTH MANAGEMENT,CREATIVE FINANCIAL GROUP,CROMER FAMILY FINANCIAL,CROSS FINANCIAL,CROSSBRIDGE WEALTH MANAGEMENT,CUE FINANCIAL OF OKLAHOMA,CUI WEALTH MANAGEMENT,D&L FINANCIAL ADVISORS,DEAN FINANCIAL PLANNING SOLUTIONS,DEMERY WEALTH ADVISORS,DOTY FINANCIAL SOLUTIONS,DOUGHTY FINANCIAL GROUP,DRESSLER FINANCIAL SERVICES,ELEKTRON WEALTH MANAGEMENT,ENGAGE FINANCIAL GROUP,ERICKSON FINANCIAL ADVISORS,ETHOS WEALTH PLANNING,EXPEDITION WEALTH MANAGEMENT,FAIRLEY WEALTH MANAGEMENT,FELICIANO FINANCIAL GROUP,FERD GARCIA WEALTH MANAGEMENT,FERDINANDSEN FINANCIAL GROUP,FINANCIAL PARTNERS GROUP,FIRST MATE FINANCIAL ADVISORS,FOCUS INVESTMENT SERVICES,FORTIS INVESTORS, INC.,FPG PRIVATE WEALTH ADVISORS,GATEWAY CAPTIAL ADIVSORS,GHJ FINANCIAL GROUP,GREYSTONE CAPITAL PARTNERS GROUP,GRIFFIN FINANCIAL LLC,GUIDANCE ADVISORS,GUIDED PATH FINANCIAL SERVICES & RETIREMENT PLANNING,HADLEY FINANCIAL,HANNES FINANCIAL SERVICES,HAVEN POINT WEALTH,HEDRICK WEALTH MANAGEMENT GROUP,HEIKE WEALTH MANAGEMENT,HERSHEY INVESTMENTS,HUTTON WEALTH MANAGEMENT,INCOME ADVISOR TEAM,INTEGRITY WEALTH SERVICES,INVESTMENT COMPONENT,JONES INVESTMENT GROUP,KAS INVESTMENT SERICES, INC.,KHS WEALTH AND INSURANCE SERVICES,KNOX FINANCIAL ADVISING,LARSON FINANCIAL ADVISORS,LEGACY INVESTMENT SERVICES,LEGACY INVESTMENT SERVICES INC.,LEGACY PLANNING GROUP,LEGACY PREMIER ADVISORS,LEGACY RETIREMENT PLAN SERVICES,LEGACY WEALTH MANAGEMENT,LIFEWEALTH PLANNING GROUP,LIFEWEALTH PRINCIPLES, LLC,LINDBERG FINANCIAL,LINDBERG FINANCIAL GROUP,LIQD,LIQD INVESTMENTS,LUNIN-PACK & FERRO FINANCIAL GROUP,MACY WEALTH MANAGEMENT,MARATHON WEALTH & PROTECTION STRATEGIES,MARK SCHLAFER & CO.,MARTIN SHAPIRO FINANCIAL SERVICES,MARTIN TAX & FINANCIAL SERVICES,MARTING FINANCIAL,MENDAM WEALTH MANAGEMENT,MENDHAM WEALTH MANAGEMENT,MINDFUL WEALTH ADVISORS,MINKOFF CAPITAL,MONEY WISE PLANNING GROUP,MONTALBO FINANCIAL SERVICES,MORGAN ADVISOR GROUP,MPC ADVISERS,MURPHY FINANCIAL SERVICES,NATIONAL FINANCIAL ADVISORS,NATIONAL WEALTH NETWORK,NICOLAS JOHN FINANCIAL,NORTHEAST VALLEY FINANCIAL,NORTHPOINT FINANCIAL GROUP,NORTHSTAR FINANCIAL SERVICES,NPB FINANCIAL,O’MALLEY WEALTH MANAGEMENT,OAK BROOK WEALTH MANAGEMENT,OMADA FINANCIAL,ON TRACK FINANCIAL,OZANNE FINANCIAL SERVICES,OZANNE FINANCIAL SERVICES & WEALTH SERVICES ALLIANCE,OZANNE FINANICAL SERVICES,P&P ASSET MANAGEMENT,PANG ENTERPRISES,PARADISE VALLEY WEALTH MANAGEMENT,PEACOCK FINANCIAL SERVICES,PETRICIC & PHILLIPS FINANCIAL GROUP,PHYSICIANS PLANNING GROUP,PIERCE INSURANCE AND INVESTMENT,PLAN4, INC.,PLATINUM CAPITAL ADVISORS,POINDEXTER FINANCIAL SERVICES,POWER WOMEN INVESTING,PREFERRED WEALTH ADVISORS,PRO CAPITAL WEALTH MANAGEMENT,PROVIDENT PLANNING,QRS & ASSOCIATES,RADICLE WEALTH MANAGEMENT,RAMIREZ & RAINS,RAYMOND WEALTH MANAGEMENT,RB FINANCIAL ADVISORS,REYNOLDS FINANCIAL ADVISORS,RJA FINANCIAL SERVICES, INC.,ROB JOHNSON FINANCIAL,ROBNETT,ROBNETT CERTIIFIED PUBLIC ACCOUNTANTS FIANCIAL ADVISORS,RUSSELL INVESTMENT ADVISORS,RYAN FINANCIAL,RYSE FINANCIAL,SCHLAFER WEALTH MANAGEMENT,SCHNUELLE, WITTE & ASSOCIATES
