Scott J. Wood

DRH INVESTMENTS

WESTLAKE VILLAGE, CA 91362

Some features on this profile are disabled

CRD#: 2424216

Professional summary

Scott J Wood, who also goes by Scott Jacob Wood, is a registered financial advisor currently at DRH INVESTMENTS, INC. located in Westlake Village, California.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Scott has worked at 7 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Jacob Wood

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.

Harvard-Westlake School, Non-Investment related, 700 North Faring Road, Los Angeles, CA 90077, College Preparatory School, Football Coach, start date August 2016, 80 hours per month, no hours during market hours. Provide coaching to the middle school football team. Westmark School, Non-Investment related, 5461 Louise Avenue, Encino, CA 91316, College Preparatory School, Golf Coach, start date February 2017, 20 hours per month, no hours during market hours. Provide coaching to the Golf Team.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott J Wood's CRS (Customer Relationship Summary).

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

June 4, 2013 - Present

DRH INVESTMENTS, INC.

Office #1: 141 Duesenberg Drive Suite 8, Westlake Village, CA 91362

RIA

CRD#: 164945

WESTLAKE VILLAGE, CA

Past

June 22, 2011 - January 29, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CENTURY CITY, CA

Past

April 18, 2011 - January 29, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CENTURY CITY, CA

Past

March 22, 1999 - September 8, 2000

BANK AUSTRIA SECURITIES, INC.

CRD#: 24028

NEW YORK, NY

Past

November 28, 1997 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

July 22, 1996 - March 12, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 1, 1996 - December 24, 1997

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

December 8, 1995 - April 1, 1996

CHASE SECURITIES, INC.

CRD#: 10793

NEW YORK, MD

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DRH INVESTMENTS, INC.

CRD#: 164945 / SEC#: 801-114702

RIA

Registered Investment Advisory firm - (2/11/2019 Approved)

California

Registered Investment Advisory firm - (3/14/2019 Terminated)

Texas

Registered Investment Advisory firm - (2/12/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/4/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/20/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/3/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/14/2011

General Securities Representative Examination

Current Firm

DRH INVESTMENTS, INC.

CRD#: 164945 / SEC#: 801-114702

RIA

Registered Investment Advisory firm - (2/11/2019 Approved)

California

Registered Investment Advisory firm - (3/14/2019 Terminated)

Texas

Registered Investment Advisory firm - (2/12/2019 Terminated)

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

141 Duesenberg Drive Suite 15a, Thousand Oaks, CA 91362

Mailing Address

Phone number

(310) 826-1740

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HANSEN FORM ADV PART 2B (3/28/2025)

DRH FORM ADV PART 2A (3/28/2025)

WOOD FORM ADV PART 2B (3/28/2025)

Regulatory assets under management

Total Number of Accounts	333
AUM (Assets Under Management)	$ 159,004,345

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.

Similar Advisors

Sean Leonard

WELLS FARGO CLEARING SERVICES, LLC

IAR

Camarillo, CA

Tania Mansouri

J.P. MORGAN SECURITIES LLC

Encino, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott J. Wood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott J Wood's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANK AUSTRIA SECURITIES, INC.

SALOMON BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

J.P. MORGAN SECURITIES INC.

CHASE SECURITIES, INC.

Primary Firm SEC Registration

DRH INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/20/2011

Series 63

Date: 5/3/1999

Series 7

Date: 4/14/2011

Current Firm

DRH INVESTMENTS, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DRH INVESTMENTS, INC.

TRUST BUT VERIFY

Similar Advisors