Brenda L. Hood
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.
Brenda Lourene Hood, who also goes by Brenda Laurene Hood, Brenda Lourene Hood, Brenda Laurene Wolfe, Brenda Lourene Wolfe, was a registered financial professional .
Brenda is a previously registered financial professional and started their career in finance in 1994. Brenda had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2019 - June 1, 2020
DAKOTA WEALTH, LLC
January 10, 2017 - November 1, 2019
SPRINGSIDE PARTNERS LLC
October 7, 2013 - October 15, 2018
CETERA ADVISORS LLC
October 4, 2013 - October 15, 2018
CETERA ADVISORS LLC
March 30, 2007 - September 16, 2013
VALMARK ADVISERS, INC.
March 27, 2007 - September 16, 2013
VALMARK SECURITIES, INC.
January 4, 2005 - January 31, 2007
CAPITAL SECURITIES OF AMERICA, INC.
January 3, 2005 - January 31, 2007
CAPITAL SECURITIES OF AMERICA, INC.
January 1, 2004 - December 15, 2004
CETERA ADVISORS LLC
January 1, 2004 - December 15, 2004
CETERA ADVISORS LLC
October 2, 2002 - January 1, 2004
VESTAX SECURITIES CORPORATION
June 24, 1994 - January 1, 2004
VESTAX SECURITIES CORPORATION
Primary Firm SEC Registration
DAKOTA WEALTH, LLC
CRD#: 297987 / SEC#: 801-114097
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
DAKOTA WEALTH, LLC
CRD#: 297987 / SEC#: 801-114097
Contact information
SEC notice filing (37 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,786 |
| AUM (Assets Under Management) | $ 6,335,261,507 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/10/2025 | ||
| 09/13/2024 | ||
| 11/21/2023 | ||
| 01/18/2023 |
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.
