AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
EB

Edward B. Breck

J. WOOD CAPITAL ADVISORS LLC
Santa Rosa, CA 95404
Some features on this profile are disabled
CRD#: 2366519
EB

Professional summary

Edward Bragg Breck, who also goes by Edward Breck, Ted Breck, is a registered financial professional currently at J. WOOD CAPITAL ADVISORS LLC located in Santa Rosa, California.

Edward is registered as a RR (Registered Representative) and started their career in finance in 1993. Edward has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Edward Breck | Ted Breck

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Edward Bragg Breck'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®
None

Experience

Current

January 8, 2020 - Present

J. WOOD CAPITAL ADVISORS LLC

Office #1: 1820 Calistoga Rd, Santa Rosa, CA 95404
BD
CRD#: 169097
Santa Rosa, CA
Past

July 29, 2004 - February 3, 2005

HOULIHAN LOKEY ADVISORS, LLC

BD
CRD#: 127835
SAN FRANCISCO, CA
Past

August 18, 1993 - June 6, 2001

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(1/8/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 12/18/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/19/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/28/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/1993
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

JW
J. WOOD CAPITAL ADVISORS LLC
J. WOOD CAPITAL ADVISORS LLC

CRD#: 169097 / SEC#: , 8-69348

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1820 Calistoga Road, Santa Rosa, CA 95404
Mailing Address
1820 Calistoga Road, Santa Rosa, CA 95404
Phone number
(415) 577-5305
Established
California since 08/30/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WOOD, JASON MATTHEWCEO, CCO2780461
BATISTA, GREGORY J.CHIEF LEGAL OFFICER6662766
GRIMM, LINDA STEINMANNFINOP1970620

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

J. WOOD CAPITAL ADVISORS LLC

CRD#: 169097Santa Rosa, CA 95404

TRUST BUT VERIFY

Monitor Edward Breck

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

BF
Brian FrostAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
SANTA ROSA, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.