Barbara A. 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.
Barbara Ann Wood, who also goes by Barbara Ann Carter, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1984. Barbara had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 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
September 2, 2017 - March 30, 2020
ATLANTIS WEALTH ADVISORS LLC
August 11, 2010 - September 5, 2017
NEXT FINANCIAL GROUP, INC.
October 20, 2000 - September 5, 2017
NEXT FINANCIAL GROUP, INC.
October 1, 1998 - October 23, 2000
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 30, 1988 - October 5, 1998
ADVANTAGE CAPITAL CORPORATION
July 17, 1987 - April 7, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
August 22, 1984 - October 5, 1998
ADVANTAGE CAPITAL CORPORATION
Primary Firm SEC Registration
ATLANTIS WEALTH ADVISORS LLC
CRD#: 169956 / SEC#: 801-79013
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
ATLANTIS WEALTH ADVISORS LLC
CRD#: 169956 / SEC#: 801-79013
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 773 |
| AUM (Assets Under Management) | $ 146,702,423 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
