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Patricia Woodham

Marex Capital Markets Inc.

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About Patricia Woodham

Patricia Woodham is a registered representative with Marex Capital Markets Inc. in Alpharetta, Georgia. Patricia has been in the securities industry since 2005. Patricia has passed the Series 4, 7, 24, 28, 63, and 65 exams. Patricia has experience with Cowen and Company, Cowen Prime Services LLC, Cowen Execution Services LLC, ConvergEx Prime Services LLC, and Register & Akers Investments, Inc. Patricia is registered to conduct business in Georgia and New York.

Firm Information

Patricia Woodham is currently registered with Marex Capital Markets Inc.. Marex Capital Markets Inc. is a Corporation formed in 1952 and approved for operations in all 50 states, the District of Columbia, and Puerto Rico. The firm has an active SEC registration and has reported 42 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

71

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Patricia Woodham’s Registration & Firm History

GA

12/05/2023 - Present

Marex Capital Markets Inc. (Alpharetta GA)

GA

08/09/2021 - 12/12/2023

COWEN AND COMPANY (Alpharetta GA)

GA

08/14/2017 - 02/10/2022

COWEN PRIME SERVICES LLC (Alpharetta GA)

GA

07/24/2014 - 12/31/2017

COWEN EXECUTION SERVICES LLC (Alpharetta GA)

GA

10/02/2007 - 11/19/2014

CONVERGEX PRIME SERVICES LLC (ALPHARETTA GA)

GA

11/08/2005 - 01/25/2008

REGISTER & AKERS INVESTMENTS, INC. (ATLANTA GA)

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Licenses & Designations

BC

Issued 01/31/2008

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 02/23/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/12/2009

Series 4 - Registered Options Principal Examination

BC

Issued 12/06/2006

Series 24 - General Securities Principal Examination

BC

Issued 11/07/2005

Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/05/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Patricia Woodham. Review regulatory record here.
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