Tom J. Wood

NWF ADVISORY SERVICES | Financial Advisor

Redding, CA 96001

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CRD#: 2931022

Professional summary

Tom Jerald Wood, CFP® is a registered financial advisor currently at NWF ADVISORY SERVICES INC located in Redding, California and OSAIC WEALTH, INC. located in Redding, California.

Tom is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Tom has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Tax Planning

Divorce Planning

Estate Planning

Retirement Planning

Employee and Employer Plan Ben...

Insurance Planning

Education Planning

Business Succession Planning

Investment Planning

Comprehensive Financial Planni...

Are you a "fiduciary"?

Yes

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.

1- 12/06/2024 / Tom Wood / Non-Variable Insurance / Investment Related / 45 hrs mth / 2 hrs during trading / Redding CA / Start date: 02/24/1997 2- 12/06/2024 / The Advice Center / DBA for LPL Business (entity for LPL business) / Investment Related / 100 hrs mth / 8 hrs during trading / At reported business location(s) 3- 12/06/2024 / The Advice Center / Tax Prep/Accounting/CPA / Investment Related / 30 hrs mth / 2 hrs during trading / Redding CA / Start date: 01/01/2000

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tom Jerald Wood's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1997

Experience

Current

February 16, 2017 - Present

NWF ADVISORY SERVICES INC

Office #1: 1828 South St., Redding, CA 96001

RIA

CRD#: 110410

Redding, CA

Current

January 7, 2025 - Present

OSAIC WEALTH, INC.

RIA

CRD#: 23131

Redding, CA

Past

January 7, 2025 - February 13, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

Redding, CA

Past

December 9, 2024 - January 14, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

REDDING, CA

Past

December 6, 2024 - January 14, 2025

LPL FINANCIAL LLC

CRD#: 6413

REDDING, CA

Past

February 8, 2000 - April 18, 2017

WHJR ASSOCIATES

RIA

CRD#: 113269

REDDING, CA

Past

February 2, 2000 - December 10, 2024

OSAIC WEALTH, INC.

CRD#: 23131

REDDING, CA

Past

September 10, 1997 - February 3, 2000

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

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".

NWF ADVISORY SERVICES INC

AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA

Registered Investment Advisory firm - (6/30/1998 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(1/7/2025)

IAR

California
(2/16/2017)

California
(1/7/2025)

Montana
(1/7/2025)

Nevada
(1/7/2025)

Oregon
(1/7/2025)

Wisconsin
(1/7/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/1/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/9/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NWF ADVISORY SERVICES INC

AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA

Registered Investment Advisory firm - (6/30/1998 Approved)

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Contact information

Main Address

11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064

Mailing Address

Phone number

(310) 475-5854

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NWF ADV PART 2 A 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	11,979
AUM (Assets Under Management)	$ 3,824,876,751

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

xxxxxxx

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Advisor Monitoring

Firm Stability Insights

Tom J. Wood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tom Jerald Wood's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WHJR ASSOCIATES

OSAIC WEALTH, INC.

THE ADVISORS GROUP, INC.

Primary Firm SEC Registration

NWF ADVISORY SERVICES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/1/1998

Series 63

Date: 10/1/1997

SIE

Date: 10/1/2018

Series 7

Date: 9/9/1997

FINRA

Current Firm

NWF ADVISORY SERVICES INC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NWF ADVISORY SERVICES INC

TRUST BUT VERIFY

Contact information

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