Nicholas H Wood
Professional Summary
Nicholas H Wood, who also goes by Nicholas Wood, is a registered financial advisor currently at SUSQUEHANNA FINANCIAL GROUP, LLLP located in Stamford, Connecticut. Nicholas is registered as a RR (Registered Representative) and started their career in finance in 1995. Nicholas has worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Nicholas Wood
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
FOREST LANE SECURITIES, INC. | SUSQUEHANNA FINANCIAL GROUP, LLLP | SUSQUEHANNA FINANCIAL GROUP, L.P. | SUSQUEHANNA FINANCIAL GROUP, INC.
Contact Information
Main Address
401 City Ave Suite 220, Bala Cynwyd, PA 19004-1122Mailing Address
401 City Ave Suite 220, Bala Cynwyd, PA 19004-1122Phone Number
(800) 825-9550Established
Delaware since 07/25/2002Firm Type
Other Types of Legal FormationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(10/24/2014)
(2/1/2011)
(2/10/2022)
(7/23/2003)
(2/10/2022)
(7/23/2003)
(11/30/2007)
(2/2/2024)
(4/29/2010)
(7/23/2003)
(2/10/2022)
(1/11/2024)
(7/23/2003)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Nicholas H Wood's CRS (Customer Relationship Summary).
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