Brian J. 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.
Brian John Wood was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1990. Brian had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2006 - March 11, 2024
STATE FARM VP MANAGEMENT CORP.
June 16, 2005 - March 29, 2006
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
October 4, 2002 - January 14, 2005
EVERLAKE DISTRIBUTORS, LLC
June 28, 2000 - October 4, 2002
AFD, INC.
February 2, 2000 - June 30, 2000
HIMCO DISTRIBUTION SERVICES COMPANY
October 4, 1999 - January 10, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 13, 1995 - October 28, 1997
LPL FINANCIAL LLC
April 5, 1995 - October 13, 1995
MARKETING ONE SECURITIES, INC.
September 14, 1993 - April 5, 1995
WAMU INVESTMENTS, INC.
August 1, 1991 - September 29, 1993
CUNA BROKERAGE SERVICES, INC.
December 3, 1990 - August 2, 1991
CENTURY INVESTORS OF AMERICA, 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
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
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.
