DW
David H. Wood
GATEWAY WEALTH PARTNERS
Glastonbury, CT 06033
Some features on this profile are disabled
CRD#: 1922287
DW
Professional summary
David Houghton Wood is a registered financial advisor currently at GATEWAY WEALTH PARTNERS, LLC located in Glastonbury, Connecticut and LPL FINANCIAL LLC located in Glastonbury, Connecticut.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. David has worked at 7 firms and has passed the Series 65, Series 63, Series 31, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 10/10/2017 - WOMEN'S INDEPENDENCE NETWORK (WIN) - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 10/31/2012 - 2 Hours Per Month/2 Hours During Securities Trading 2. 10/10/2017 - GATEWAY FINANCIAL PARTNERS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 10/31/2012 - 40 Hours During Securities Trading 3. 11/12/2018 - Bluefish Advisor Marketing LLC - Investment Related - At Reported Business Location(s) - Other-Advertising & Marketing Services - Owner - Start Date: 09/01/2018 - 5 Hours Per Month/5 Hours During Securities Trading - Advertising service. 4. 09/20/2019 - Bench of Life - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 04/01/2017 - 0 Hours Per Month/0 Hours During Securities Trading 5. 6/12/2020 - Awesome Crate LLC - Not Investment Related - Home Based - Outside/W-2 Employment - Started 05/11/2020 - 10 Hours Per Month/0 Hours During Securities Trading - Involved in marketing. 6. 02/28/2022 - Gateway Financial Partners LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 12/31/2021 - 20 Hours Per Month/20 Hours During Securities Trading 7. 03/04/2022 - Gateway Partner Holdings - Not Investment Related - 100 W Lawrence Street, Appleton, WI 54911 - Business Entity For Tax/Investment Purposes Only - Start Date - 12/31/2021 - 20 Hours Per Month/20 Hours During Securities Trading 8. 3/30/2023 - Gateway Growth Partners, LLC - Not Investment Related - 100 W Lawrence Street, Appleton, WI 54911 - Business Entity For Tax/Investment Purposes Only - Start Date - 12/15/2022 - 1 Hours Per Month/1 Hours During Securities Trading 9. 9/8/2023: Gateway Wealth Partners; At reported business locations; Registered Investment Advisor Hybrid; Inv. related; start date 10/6/2022; 160 hrs/mo.; 100 hrs during trading; I provide investment advisory services through Gateway Wealth Partners, LLC, an independent investment advisor firm. I started this business activity in 10/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 10) 01/24/2025 - Gateway Financial Partners, LLC - Investment Related - Real Estate Rental - At Reported Business Location(s) - Start Date:02/01/2025 - 1 Hrs/Mth - 0 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view David Houghton Wood's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 6, 2022 - Present
GATEWAY WEALTH PARTNERS, LLC
Office #1: 455 Winding Brook Drive, Glastonbury, CT 06033RIA
CRD#: 322789
Glastonbury, CT
Current
November 29, 2017 - Present
LPL FINANCIAL LLC
Office #1: 455 Winding Brook Drive, Glastonbury, CT 06033RIA
BD
CRD#: 6413
Glastonbury, CT
Past
March 11, 2022 - October 25, 2022
ADVISORS' PRIDE INC.
RIA
CRD#: 170669
Glastonbury, CT
Past
November 29, 2017 - August 11, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
March 6, 2003 - December 1, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
GLASTONBURY, CT
Past
February 7, 2003 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
GLASTONBURY, CT
Past
February 1, 1999 - February 10, 2003
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
GLASTONBURY, CT
Past
July 26, 1994 - February 10, 2003
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
September 23, 1992 - July 28, 1994
BUELL SECURITIES CORP.
BD
CRD#: 1342
GLASTONBURY, CT
Past
March 21, 1989 - October 5, 1992
DETWILER FENTON & CO.
BD
CRD#: 1794
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GW
GATEWAY WEALTH PARTNERS, LLC
ADVISORS' PRIDE | WEALTH GUARDIAN ADVISORS | UNION RETIREMENT | THORSEN WEALTH MANAGEMENT | PENNELL WEALTH ADVISORS | MCCLONE RETIREMENT ADVISORS | INTEGRATED WEALTH PARTNERS | HAGEN WEALTH MANAGEMENT | GATEWAY WEALTH PARTNERS, LLC | GATEWAY FINANCIAL PARTNERS, LLC | FORETHOUGHT PLANNING | FINANCIAL RESOURCE SERVICES | FINANCIAL ADVISORS INC. | BOBER WEALTH MANAGEMENT COMPANY
CRD#: 322789 / SEC#: 801-126635
RIA
Registered Investment Advisory firm - (9/26/2022 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/27/2020)
RR
Alaska(6/12/2019)
RR
Arizona(11/29/2017)
RR
Arkansas(11/29/2017)
RR
California(11/29/2017)
RR
Colorado(11/29/2017)
RR
Connecticut(11/29/2017)
IAR
Connecticut(10/6/2022)
RR
Delaware(1/17/2018)
RR
District of Columbia(6/12/2019)
RR
Florida(11/29/2017)
RR
Georgia(1/18/2018)
RR
Hawaii(6/12/2019)
RR
Idaho(11/29/2017)
RR
Illinois(11/29/2017)
RR
Indiana(6/12/2019)
RR
Iowa(11/29/2017)
RR
Kansas(6/1/2018)
RR
Kentucky(1/17/2018)
RR
Louisiana(11/29/2017)
RR
Maine(2/11/2019)
RR
Maryland(11/29/2017)
RR
Massachusetts(11/29/2017)
RR
Michigan(11/29/2017)
RR
Minnesota(10/12/2018)
RR
Mississippi(11/29/2017)
RR
Missouri(11/29/2017)
RR
Montana(11/29/2017)
RR
Nebraska(5/22/2019)
RR
Nevada(10/7/2018)
RR
New Hampshire(11/29/2017)
RR
New Jersey(11/29/2017)
RR
New Mexico(10/7/2018)
RR
New York(11/29/2017)
RR
North Carolina(11/29/2017)
RR
North Dakota(1/28/2022)
RR
Ohio(11/29/2017)
RR
Oklahoma(1/18/2018)
RR
Oregon(11/29/2017)
RR
Pennsylvania(11/29/2017)
RR
Puerto Rico(1/28/2022)
RR
Rhode Island(11/29/2017)
RR
South Carolina(11/29/2017)
RR
South Dakota(1/19/2022)
RR
Tennessee(5/29/2018)
RR
Texas(11/29/2017)
RR
Utah(6/8/2018)
RR
Vermont(5/17/2018)
RR
Virgin Islands(4/27/2020)
RR
Virginia(11/29/2017)
RR
Washington(1/18/2018)
RR
West Virginia(7/3/2019)
RR
Wisconsin(11/29/2017)
RR
Wyoming(4/25/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GW
GATEWAY WEALTH PARTNERS, LLC
ADVISORS' PRIDE | WEALTH GUARDIAN ADVISORS | UNION RETIREMENT | THORSEN WEALTH MANAGEMENT | PENNELL WEALTH ADVISORS | MCCLONE RETIREMENT ADVISORS | INTEGRATED WEALTH PARTNERS | HAGEN WEALTH MANAGEMENT | GATEWAY WEALTH PARTNERS, LLC | GATEWAY FINANCIAL PARTNERS, LLC | FORETHOUGHT PLANNING | FINANCIAL RESOURCE SERVICES | FINANCIAL ADVISORS INC. | BOBER WEALTH MANAGEMENT COMPANY
CRD#: 322789 / SEC#: 801-126635
RIA
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Contact information
Main Address
100 W. Lawrence Street Suite 304, Appleton, WI 54911
Mailing Address
Phone number
(920) 731-9293
Established
Firm type
Fiscal year end
# of Employees
66
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,702 |
| AUM (Assets Under Management) | $ 1,249,772,416 |
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.
Company Information
GATEWAY WEALTH PARTNERS, LLC
CRD#: 322789Glastonbury, CT 06033TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
