Brian C. 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.
Brian Chad Wood, CFP®, CPWA®, who also goes by Chad Wood, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1995. Brian had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2021-05-25
Expire date: 2023-04-30
Experience
January 25, 2022 - April 25, 2026
CHARLES SCHWAB & CO., INC.
January 25, 2022 - April 25, 2026
CHARLES SCHWAB & CO., INC.
January 4, 2019 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 11, 2006 - January 4, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 11, 2006 - October 14, 2022
TD AMERITRADE, INC.
November 28, 2006 - December 31, 2023
TD AMERITRADE, INC.
December 10, 2003 - November 13, 2006
BROOKSTREET SECURITIES CORPORATION
July 22, 2003 - December 8, 2003
CROWELL, WEEDON & CO.
July 5, 2000 - July 28, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 5, 2000 - July 28, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 4, 1996 - June 23, 2000
UBS FINANCIAL SERVICES INC.
February 16, 1996 - December 6, 1996
KIRLIN SECURITIES INC.
October 17, 1995 - February 23, 1996
H.J. MEYERS & CO., INC.
October 6, 1995 - October 18, 1995
INVESTORS ASSOCIATES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
