Ralph T. 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.
Ralph Theodore Wood, who also goes by Ralph Theoradore Wood Jr, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1988. Ralph had worked at 10 firms and has passed the Series 66, 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
April 28, 2006 - April 9, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 2, 2005 - April 9, 2013
TD AMERITRADE, INC.
October 31, 2005 - April 9, 2013
TD AMERITRADE, INC.
June 18, 2004 - December 14, 2004
TD AMERITRADE, INC.
April 9, 1999 - December 14, 2004
TD AMERITRADE, INC.
May 6, 1998 - September 24, 1998
DINA SECURITIES, INC.
September 25, 1991 - April 16, 1998
JOSEPHTHAL & CO., INC.
June 13, 1990 - October 22, 1991
JJC SECURITIES CO., INC.
February 9, 1990 - June 5, 1990
G. K. SCOTT & CO., INC.
June 5, 1989 - February 21, 1990
ANDREW ALEN SECURITIES, INC.
April 5, 1989 - July 6, 1989
KOCHCAPITAL
March 3, 1989 - March 27, 1989
MONMOUTH INVESTMENTS, INC.
July 19, 1988 - March 10, 1989
INVESTORS CENTER, 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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
