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KW

Kevin D. Wood

AUERBACH GRAYSON & COMPANY
New York, NY 10019
CRD#: 2557100
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KW
Kevin Douglas WoodAUERBACH GRAYSON & COMPANY

Professional summary

Kevin Douglas Wood is a registered financial professional currently at AUERBACH GRAYSON & COMPANY LLC located in New York, New York.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1995. Kevin has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 17 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Kevin Douglas Wood'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

July 31, 2017 - Present

AUERBACH GRAYSON & COMPANY LLC

Office #1: 20w 55th Street, New York, NY 10019
BD
CRD#: 30761
New York, NY
Past

April 24, 2017 - July 24, 2017

PUMA CAPITAL, LLC

BD
CRD#: 146744
Purchase, NY
Past

January 16, 2014 - November 2, 2016

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

February 15, 2013 - March 12, 2013

CLSA AMERICAS, LLC

BD
CRD#: 165533
NEW YORK, NY
Past

March 8, 2012 - March 12, 2013

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

June 30, 2010 - February 27, 2012

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

June 29, 1998 - May 6, 2010

UBS SECURITIES LLC

BD
CRD#: 7654
STAMFORD, CT
Past

September 2, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

June 3, 1996 - September 2, 1997

SBC WARBURG, INC.

BD
CRD#: 23745
NEW YORK, NY
Past

January 25, 1995 - June 3, 1996

S.G. WARBURG & CO. INC.

BD
CRD#: 1483
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
Colorado
(7/31/2017)
RR
Connecticut
(7/31/2017)
RR
Florida
(7/31/2017)
RR
Massachusetts
(7/31/2017)
RR
New York
(7/31/2017)
RR
Texas
(7/31/2017)
RR
Virginia
(7/31/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 4/10/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 5/10/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 17
Date: 1/16/1995
Limited Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/11/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AG
AUERBACH GRAYSON & COMPANY LLC
AGCO | JL AUERBACH & COMPANY INCORPORATED | AUERBACH GRAYSON & COMPANY LLC | AUERBACH GRAYSON & COMPANY INCORPORATED | AUERBACH GRAYSON & CO. | AUERBACH GRAYSON | AUERBACH

CRD#: 30761 / SEC#: , 8-45136

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
20w 55th Street 4th Floor, New York, NY 10019
Mailing Address
20w 55th Street, New York, NY 10019
Phone number
(212) 557-4444
Established
Delaware since 01/29/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
HDH GLOBAL LLCOWNER
AIKINS, GIL OCCO / CLO5157274
BHATNAGAR, NIKHILCHIEF EXECUTIVE OFFICER5874592
HEWITT, MICHAEL THOMAS JRFINOP6594844
MANDEL, SIMON MARKOVICHBOARD MEMBER5824632
TOKATLILAR, LEONGLOBAL HEAD OF OPERATIONS5838809

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

AUERBACH GRAYSON & COMPANY LLC

CRD#: 30761New York, NY 10019

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