James Woodruff, financial advisor Birmingham AL
93 score

James Woodruff

CRD Number: 5314338
Current Firm: Fsc Securities Corporation

James Woodruff (CRD# 5314338) is an Investment Advisor Representative working at Fsc Securities Corporation in Birmingham, AL and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Fsc Securities Corporatiom Birmingham, AL Apr 2014 - Current 2
Cadence Bank Birmingham, AL May 2013 - Current 3
Lpl Financial Charlotte, NC May 2013 - Apr 2014 < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Birmingham, AL Sep 2008 - May 2013 4
Wachovia Securities Birmingham, AL Jun 2007 - Sep 2008 1
New York Life Birmingham, AL Mar 2007 - Jun 2007 < 1
College Oxford, MS Aug 2006 - Feb 2007 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Sep 2007
Contact Info for James D. Woodruff
Phone Number: 1-800-547-2382
Firm Website: http://www.fscorp.com
Registered State(s):
  • AL
By the Numbers
  • Total Assets Under Management
    5,630
    MILLIONS
  • Total Number of Accounts
    24,779
    ACCOUNTS
  • Average Account Value
    $227,192
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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