Mark S. 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.
Mark Stanton Wood was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1985. Mark had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2010 - December 26, 2013
DOMINION INVESTOR SERVICES, INC.
February 17, 2005 - December 31, 2009
DOMINION INVESTOR SERVICES, INC.
July 22, 2002 - February 26, 2003
DOMINION INVESTOR SERVICES, INC.
June 29, 2001 - June 25, 2002
STANFORD GROUP COMPANY
May 11, 2001 - January 29, 2002
UBS FINANCIAL SERVICES INC.
February 1, 2000 - May 18, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 1995 - December 31, 1999
MOMENTUM INDEPENDENT NETWORK INC.
March 1, 1995 - July 17, 1995
ADVANTAGE CAPITAL CORPORATION
August 14, 1990 - December 31, 1994
ADVANTAGE CAPITAL CORPORATION
October 18, 1988 - July 31, 1990
PRINCIPAL FINANCIAL SECURITIES,INC.
October 30, 1987 - October 3, 1988
UNDERWOOD, NEUHAUS & CO., INCORPORATED
April 26, 1985 - October 19, 1987
JM DISSOLUTION, 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
DOMINION INVESTOR SERVICES, INC.
CRD#: 21548 / SEC#: , 8-39029
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINION FINANCIAL SERVICES, INC. | PARENT/SHAREHOLDER | |
| CRISLER, SHIRLEY MAE | IP, SR VICE PRESIDENT, DIRECTOR, CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 2118069 |
| SHROPSHIRE, CAMERON EDWARD III | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 2233524 |
| SMITH, RIX CARLTON | PRESIDENT, CEO, DIRECTOR, GP, MP,OP | 1061442 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
