WOODBURY FINANCIAL SERVICES, INC.
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WOODBURY FINANCIAL SERVICES, INC.
(CRD# 421)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Oakdale, MN.
The SEC approved the firm to operate as an RIA in
Sep 1997.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$7.6 Billion,
with discretion over
49%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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WOODBURY FINANCIAL SERVICES, INC.
also reported in
Mar 2019
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1925
employees,
with
947
performing advisory functions.
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A total of 635 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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WOODBURY FINANCIAL SERVICES, INC. has one or more disclosure events currently on file with the SEC.
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WOODBURY FINANCIAL SERVICES, INC. has Notice Filings with the following State Securities Authorities:
AK-Apr 2002, AL-Feb 2004, AR-Aug 2001, AZ-Feb 2006, CA-Jan 1998
, CO-Jan 1999, CT-Mar 1998, DC-Jul 1999, DE-Sep 2003, FL-Oct 1997
, GA-Apr 1999, HI-Aug 2006, IA-Jan 1999, ID-Aug 1998, IL-Oct 1997
, IN-Oct 1997, KS-Oct 1997, KY-Mar 2001, LA-Nov 2002, MA-Jan 2000
, MD-Nov 1998, ME-Feb 2006, MI-Mar 2001, MN-Oct 1997, MO-Oct 1998
, MS-Jan 1999, MT-Jun 2000, NC-May 2002, ND-Apr 2000, NE-Nov 1998
, NH-Dec 1999, NJ-Feb 2003, NM-Sep 2000, NV-Jul 1998, NY-Apr 1999
, OH-Apr 1999, OK-Nov 1998, OR-Aug 1998, PA-Mar 2004, RI-May 2004
, SC-Jan 2000, SD-Oct 2000, TN-Nov 2002, TX-Dec 2002, UT-Sep 2000
, VA-Nov 1998, VI-Oct 2010, VT-Sep 1999, WA-Aug 1998, WI-Feb 1998
, WV-Feb 2004, WY-Jul 2017
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The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
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