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DW

Donald T. Wood

Some features on this profile are disabled
CRD#: 2652416
DW

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.

Donald Timothy Wood was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1995. Donald had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 12, 2007 - August 5, 2015

UPHOLD SECURITIES INC.

BD
CRD#: 34071
NEW YORK, NY
Past

September 15, 2005 - May 2, 2007

MAJESTIC SECURITIES LLC

BD
CRD#: 135126
NEW YORK, NY
Past

January 27, 2005 - August 23, 2005

EXGEN SECURITIES LLC

BD
CRD#: 127472
NEW YORK, NY
Past

January 6, 2003 - April 17, 2003

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

February 9, 2001 - October 29, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 25, 2000 - January 26, 2001

EPOCH SECURITIES, INC.

BD
CRD#: 103899
SOUTHBOROUGH, MA
Past

May 9, 1996 - September 29, 2000

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

October 6, 1995 - May 8, 1996

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/23/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/5/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/5/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/15/2011
General Securities Principal Examination

Current Firm

US
UPHOLD SECURITIES INC.
JNK SECURITIES | UPHOLD SECURITIES, INC. DBA JNK SECURITIES | UPHOLD SECURITIES INC. | JNK SECURITIES CORP.

CRD#: 34071 / SEC#: , 8-46202

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

Main Address
530 Fifth Avenue 3rd Floor, New York, NY 10036
Mailing Address
530 Fifth Avenue Ste 3a, New York, NY 10036
Phone number
(203) 554-5542
Established
New York since 05/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
UPHOLD, INC.PARENT
SNYDER, CURTIS LEE JRPRESIDENT & COO/CFO/CCO1885111

Disclosures

Regulatory Event1

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

UPHOLD SECURITIES INC.

CRD#: 34071

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