Kingsley 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.
Kingsley Wood JR, who also goes by Kingsley Wood, Kit Wood, was a registered financial professional .
Kingsley is a previously registered financial professional and started their career in finance in 1993. Kingsley had worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, Series 57TO, Series 50, SIE, Series 3, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2022 - August 22, 2023
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
September 8, 2021 - August 22, 2023
HILLTOP SECURITIES INC.
May 24, 2005 - March 26, 2020
WELLS FARGO SECURITIES, LLC
January 27, 2004 - May 19, 2005
J.P. MORGAN INVESTMENT MANAGEMENT INC.
December 12, 2003 - May 5, 2005
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
December 12, 1994 - March 23, 1998
ABN AMRO INCORPORATED
December 22, 1993 - August 23, 1994
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
CRD#: 110760 / SEC#: 801-40189
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
CRD#: 110760 / SEC#: 801-40189
Contact information
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 54 |
| AUM (Assets Under Management) | $ 31,688,490,690 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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