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SW

Steven D. Wood

Some features on this profile are disabled
CRD#: 2756913
SW

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.

Steven Douglas Wood was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 5 firms and has passed the Series 65, Series 66, Series 63 and Series 7 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)

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

December 14, 2021 - November 15, 2022

DST WEALTH MANAGEMENT LLC

RIA
CRD#: 302110
Plano, TX
Past

September 29, 2021 - December 14, 2021

TOWNSQUARE CAPITAL, LLC

RIA
CRD#: 288576
PLANO, TX
Past

May 14, 2010 - March 16, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
VIENNA, VA
Past

May 14, 2010 - March 16, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
VIENNA, VA
Past

April 13, 2010 - May 26, 2010

WADDELL & REED

RIA
CRD#: 866
VIENNA, VA
Past

April 8, 2010 - May 26, 2010

WADDELL & REED

BD
CRD#: 866
VIENNA, VA
Past

July 2, 1996 - April 24, 1998

JOHNSTON, LEMON & CO. INCORPORATED

BD
CRD#: 473
WASHINGTON, DC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DW
DST WEALTH MANAGEMENT LLC
DANNAH INVESTMENT GROUP, LLC | WILLIAM CHRISTIAN GABRIELSEN, PRODUCER'S PROSPECTS | JOHN BALMER DST WEALTH MANAGEMENT LLC, INVESTMENT ADVISOR | DST WEALTH MANAGEMENT LLC

CRD#: 302110 / SEC#: 801-118242

RIA
Registered Investment Advisory firm - (3/16/2020 Approved)
Arizona
Registered Investment Advisory firm - (4/30/2020 Terminated)
Arkansas
Registered Investment Advisory firm - (4/30/2020 Terminated)
California
Registered Investment Advisory firm - (5/30/2020 Terminated)
Florida
Registered Investment Advisory firm - (4/30/2020 Terminated)
Georgia
Registered Investment Advisory firm - (5/1/2020 Terminated)
Idaho
Registered Investment Advisory firm - (4/30/2020 Terminated)
Iowa
Registered Investment Advisory firm - (5/1/2020 Terminated)
Oklahoma
Registered Investment Advisory firm - (4/30/2020 Terminated)
South Dakota
Registered Investment Advisory firm - (4/30/2020 Terminated)
Texas
Registered Investment Advisory firm - (4/30/2020 Terminated)
Washington
Registered Investment Advisory firm - (4/30/2020 Terminated)
Wisconsin
Registered Investment Advisory firm - (4/30/2020 Terminated)

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
IAR
Series 65
Date: 6/24/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/12/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/16/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/7/2010
General Securities Representative Examination

Current Firm

DW
DST WEALTH MANAGEMENT LLC
DANNAH INVESTMENT GROUP, LLC | WILLIAM CHRISTIAN GABRIELSEN, PRODUCER'S PROSPECTS | JOHN BALMER DST WEALTH MANAGEMENT LLC, INVESTMENT ADVISOR | DST WEALTH MANAGEMENT LLC

CRD#: 302110 / SEC#: 801-118242

RIA
Registered Investment Advisory firm - (3/16/2020 Approved)
Arizona
Registered Investment Advisory firm - (4/30/2020 Terminated)
Arkansas
Registered Investment Advisory firm - (4/30/2020 Terminated)
California
Registered Investment Advisory firm - (5/30/2020 Terminated)
Florida
Registered Investment Advisory firm - (4/30/2020 Terminated)
Georgia
Registered Investment Advisory firm - (5/1/2020 Terminated)
Idaho
Registered Investment Advisory firm - (4/30/2020 Terminated)
Iowa
Registered Investment Advisory firm - (5/1/2020 Terminated)
Oklahoma
Registered Investment Advisory firm - (4/30/2020 Terminated)
South Dakota
Registered Investment Advisory firm - (4/30/2020 Terminated)
Texas
Registered Investment Advisory firm - (4/30/2020 Terminated)
Washington
Registered Investment Advisory firm - (4/30/2020 Terminated)
Wisconsin
Registered Investment Advisory firm - (4/30/2020 Terminated)
PREMIUM
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Contact information

Main Address
45110 Club Drive Suite B, Indian Wells, CA 92210
Mailing Address
Phone number
(760) 340-1448
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (9 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DST BROCHURE (2/23/2026)

Regulatory assets under management

Total Number of Accounts703
AUM (Assets Under Management)$ 532,112,090

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

DST WEALTH MANAGEMENT LLC

CRD#: 302110

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