William E. 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.
William Ernest Wood was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1996. William had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2009 - January 8, 2016
SORRENTO PACIFIC FINANCIAL, LLC
June 27, 2002 - December 12, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
February 7, 2001 - December 12, 2008
UVEST FINANCIAL SERVICES GROUP, INC.
June 14, 2000 - January 30, 2001
NATHAN & LEWIS SECURITIES, INC.
January 25, 2000 - June 14, 2000
GUARANTY BROKERAGE SERVICES, INC.
January 28, 1998 - December 7, 1999
GUARANTY BROKERAGE SERVICES, INC.
February 20, 1996 - February 24, 1997
UBS FINANCIAL SERVICES INC.
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
SORRENTO PACIFIC FINANCIAL, LLC
CRD#: 127787 / SEC#: 801-70354, 8-66046
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 222,328,734 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
