Todd 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.
Todd Wood, who also goes by Todd Terrell Wood, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1993. Todd had worked at 15 firms and has passed the Series 65, Series 63, Series 79TO, Series 57TO, SIE, Series 55 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
July 31, 2022 - April 12, 2024
ALLIANCEBERNSTEIN L.P.
January 3, 2022 - April 12, 2024
SANFORD C. BERNSTEIN & CO., LLC
December 8, 2020 - January 3, 2022
GENERAL WELLINGTON CAPITAL LLC
March 28, 2018 - December 27, 2018
FINTRUST BROKERAGE SERVICES, LLC
December 2, 2015 - May 4, 2016
AUERBACH GRAYSON & COMPANY LLC
July 15, 2011 - June 11, 2015
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
January 4, 2010 - June 29, 2011
MKM PARTNERS LLC
April 9, 2003 - December 18, 2009
FTN EQUITY CAPITAL MARKETS CORP.
February 22, 2002 - February 21, 2003
GLEACHER & COMPANY SECURITIES, INC.
May 1, 2001 - February 27, 2002
J.P. MORGAN SECURITIES INC.
February 5, 2001 - May 1, 2001
JPMSI
February 1, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
August 31, 1999 - February 1, 2000
HAMBRECHT & QUIST LLC
June 1, 1998 - November 25, 1998
ARK FUNDS DISTRIBUTORS, LLC
May 10, 1995 - July 17, 1996
WR LAZARD, LAIDLAW INCORPORATED
April 6, 1993 - August 9, 1994
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/14/2005
Limited Representative-Equity Trader ExamCurrent Firm
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 68,593 |
| AUM (Assets Under Management) | $ 709,162,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2025 | ||
| 11/25/2024 | ||
| 10/27/2023 |
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.
