Janet C. 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.
Janet Carole Wood, who also goes by Janet Carole Kline, was a registered financial professional .
Janet is a previously registered financial professional and started their career in finance in 1997. Janet had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 10, Series 9 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
March 24, 2010 - May 7, 2013
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
March 24, 2010 - May 7, 2013
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
May 30, 2003 - April 14, 2010
CETERA INVESTMENT SERVICES LLC
May 27, 2003 - April 14, 2010
CETERA INVESTMENT SERVICES LLC
July 11, 2000 - May 21, 2003
CHARLES SCHWAB & CO., INC.
May 14, 1999 - June 4, 1999
KEYBANC CAPITAL MARKETS INC.
April 16, 1997 - May 14, 1999
KEY INVESTMENTS 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
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
