Charles D. Wood
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Davis Wood, who also goes by Chuck Wood, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1982. Charles had worked at 10 firms and has passed the Series 66, SIE, Series 7, Series 22, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2015 - November 28, 2016
CAPE SECURITIES INC.
September 19, 2011 - September 3, 2013
EVERLAKE DISTRIBUTORS, LLC
February 10, 2006 - September 19, 2011
ALFS, INC.
June 2, 2003 - January 11, 2005
SOUTHTRUST SECURITIES, LLC
January 10, 2003 - June 6, 2003
CENTAURUS FINANCIAL, INC.
April 12, 2001 - May 9, 2001
MORGAN KEEGAN & COMPANY, LLC
February 9, 1994 - April 12, 2001
REGIONS INVESTMENT COMPANY, INC.
November 15, 1990 - December 31, 1993
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 17, 1989 - November 11, 1989
FINANCIAL HORIZONS SECURITIES CORPORATION
May 8, 1986 - September 7, 1988
WS GRIFFITH SECURITIES, INC.
November 10, 1982 - April 2, 1986
WS GRIFFITH SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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