JW
James A. Wood
TRUIST SECURITIES
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 2845282
JW
Professional summary
James Alan Wood, who also goes by James A Wood, is a registered financial professional currently at TRUIST SECURITIES, INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James A Wood
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.
CRS (Client Relationship Summary) - BD
Click below to view James Alan Wood's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 10, 2012 - Present
TRUIST SECURITIES, INC.
Office #1: 50 Hudson Yards Fl 69 & 70, New York, NY 10001BD
CRD#: 6271
NEW YORK, NY
Past
June 24, 2010 - July 3, 2012
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
April 20, 2009 - June 10, 2010
JEFFERIES HIGH YIELD TRADING, LLC
BD
CRD#: 47363
STAMFORD, CT
Past
April 20, 2009 - June 10, 2010
JEFFERIES LLC
BD
CRD#: 2347
STAMFORD, CT
Past
January 22, 2007 - April 1, 2009
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
January 3, 2006 - November 16, 2006
CRT CAPITAL GROUP LLC
BD
CRD#: 28830
STAMFORD, CT
Past
January 14, 2005 - January 6, 2006
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
September 14, 2000 - January 18, 2005
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
Past
April 28, 1999 - July 7, 2000
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
February 18, 1997 - April 5, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/10/2012)
RR
Alaska(10/24/2017)
RR
Arizona(10/24/2017)
RR
Arkansas(10/24/2017)
RR
California(10/24/2017)
RR
Colorado(12/10/2012)
RR
Connecticut(12/10/2012)
RR
Delaware(12/10/2012)
RR
District of Columbia(12/10/2012)
RR
Florida(12/10/2012)
RR
Georgia(12/10/2012)
RR
Hawaii(10/24/2017)
RR
Idaho(10/24/2017)
RR
Illinois(12/10/2012)
RR
Indiana(12/10/2012)
RR
Iowa(12/10/2012)
RR
Kansas(12/10/2012)
RR
Kentucky(10/24/2017)
RR
Louisiana(10/24/2017)
RR
Maine(10/24/2017)
RR
Maryland(12/10/2012)
RR
Massachusetts(12/10/2012)
RR
Michigan(12/10/2012)
RR
Minnesota(12/10/2012)
RR
Mississippi(10/24/2017)
RR
Missouri(10/24/2017)
RR
Montana(10/24/2017)
RR
Nebraska(10/24/2017)
RR
Nevada(10/24/2017)
RR
New Hampshire(12/10/2012)
RR
New Jersey(12/10/2012)
RR
New Mexico(10/24/2017)
RR
New York(12/10/2012)
RR
North Carolina(12/10/2012)
RR
North Dakota(10/24/2017)
RR
Ohio(12/11/2012)
RR
Oklahoma(10/24/2017)
RR
Oregon(10/24/2017)
RR
Pennsylvania(12/10/2012)
RR
Puerto Rico(10/24/2017)
RR
Rhode Island(12/10/2012)
RR
South Carolina(10/24/2017)
RR
South Dakota(12/10/2012)
RR
Tennessee(10/24/2017)
RR
Texas(10/24/2017)
RR
Utah(10/24/2017)
RR
Vermont(12/10/2012)
RR
Virginia(12/10/2012)
RR
Washington(10/24/2017)
RR
West Virginia(12/10/2012)
RR
Wisconsin(10/24/2017)
RR
Wyoming(10/24/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
TS
TRUIST SECURITIES, INC.
ALEXANDER KEY INVESTMENTS | TRUIST SECURITIES, INC. | SUNTRUST ROBINSON HUMPHREY, INC. | SUNTRUST ROBINSON HUMPHREY | SUNTRUST EQUITABLE SECURITIES CORPORATION | SUNTRUST EQUITABLE SECURITIES | SUNTRUST CAPITAL MARKETS, INC. | SUNTRUST CAPITAL MANAGEMENT, INC. | EQUITABLE SECURITIES CORPORATION
CRD#: 6271 / SEC#: , 8-17212
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
740 Battery Ave, Atlanta, GA 30339
Mailing Address
740 Battery Ave, Atlanta, GA 30339
Phone number
(404) 926-5600
Established
Tennessee since 07/01/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
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.
