Broker Check

Financial Professional Login


This site is designed for employees and Investment Professionals of Woodlands Securities Corporation and Woodlands Asset Management, Inc.

Unauthorized use of this Information is strictly prohibited.

Business Continuity Plan and Internet Email Access (cards)

WinOps Dashboard

Calendar of Events

Tammy

WSC PRODUCT LISTS/Information:

Private Offering Info:

Restricted List

List of securities prohibited in Associated Person’s personal accounts or client accounts for the following reasons:

  1. For any type account, while in possession of inside information relating to a security;
  2. In personal accounts for Hot Issues where Company is an underwriter;
  3. In personal accounts for new issues of securities that immediately begin trading at a higher price than originally offered.

Registered Reps

WSC Firm State Appointments

WAMI-State DeMinimis-Regn Requirements

WSC Registered Rep Forms & Information:

OFAC Compliance Division

WAMI Agent Forms:

WSC FORMS & Information:


  • For Schwab Forms:
    Can be obtained from the Schwab Institutional website. Contact our office to issue UserID and Password
    www.schwabinstitutional.com