Terry O. Woods
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.
Terry Oran Woods was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1983. Terry had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2009 - December 24, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 21, 2009 - December 24, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 20, 2002 - June 4, 2009
UBS FINANCIAL SERVICES INC.
May 17, 2002 - June 4, 2009
UBS FINANCIAL SERVICES INC.
January 5, 1987 - May 31, 2002
A. G. EDWARDS & SONS, INC.
January 30, 1985 - January 8, 1987
THOMSON MCKINNON SECURITIES INC.
September 21, 1983 - January 28, 1985
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Series 8
Date: 4/8/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
