Andrea C. 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.
Andrea Claire Wood, who also goes by Andi Wood, was a registered financial professional .
Andrea is a previously registered financial professional and started their career in finance in 1993. Andrea had worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - April 16, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 8, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 26, 2003 - April 16, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 15, 2001 - August 11, 2003
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - August 11, 2003
WELLS FARGO INVESTMENTS, LLC
March 27, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
March 21, 1997 - March 31, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 1994 - March 11, 1997
MORGAN STANLEY DW INC.
September 21, 1993 - January 25, 1994
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
