Wayne Woodman, financial advisor Allentown PA
83 score

Wayne Woodman

CRD Number: 1019889
Current Firm: The Investment House LLC

Wayne Woodman (CRD# 1019889) is an Investment Advisor Representative working at The Investment House LLC in Allentown, PA and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
The Investment House LLC Los Angeles, CA May 2012 - Current 6
First Western Investment Management, Inc. Los Angeles, CA May 2009 - May 2012 3
Samuels Chase & Company, Inc. Los Angeles, CA Jul 2003 - Dec 2010 7
Gkm Advisers, LLC Los Angeles, CA Jul 2003 - Jul 2009 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1984
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Wayne S. Woodman
Phone Number: 310-873-3021
Firm Website: http://www.tihllc.com
Registered State(s):
  • CA
  • PA
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
Types of Clients
Registered States


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