Lance 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.
Lance Jon Wood was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1993. Lance had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2016 - November 21, 2017
THE BENCHMARK COMPANY, LLC
October 20, 2014 - December 31, 2015
LJW FINANCIAL, LLC
July 20, 2010 - October 15, 2014
MACQUARIE CAPITAL (USA) INC.
August 25, 2003 - July 26, 2010
LEERINK PARTNERS LLC
August 15, 2002 - August 29, 2003
J.P. MORGAN SECURITIES LLC
September 1, 1998 - August 19, 2002
ROBERTSON STEPHENS, INC.
February 26, 1998 - September 1, 1998
BANCAMERICA SECURITIES, INC.
September 24, 1993 - March 3, 1998
UBS FINANCIAL SERVICES 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
Series 55
Date: 5/3/2004
Limited Representative-Equity Trader ExamCurrent Firm
THE BENCHMARK COMPANY, LLC
CRD#: 22982 / SEC#: , 8-40081
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 1 |
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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