Benjamin E. Woods

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

Omaha, NE 68116

Some features on this profile are disabled

CRD#: 2958295

Professional summary

Benjamin Edward Woods, who also goes by Ben Woods, is a registered financial advisor currently at ELLERBROCK-NORRIS WEALTH STRATEGIES LLC located in Omaha, Nebraska.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Benjamin has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben Woods

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) - RIA

Click below to view Benjamin Edward Woods'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®

None

Experience

Current

January 19, 2021 - Present

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

Office #1: 4331 North 156th Street, Omaha, NE 68116

RIA

CRD#: 295099

Omaha, NE

Past

May 13, 2013 - January 8, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

OMAHA, NE

Past

May 13, 2013 - January 8, 2021

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Omaha, NE

Past

April 5, 2013 - January 8, 2021

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

September 7, 2012 - April 16, 2013

BOAZ WEALTH STEWARDSHIP LLC

RIA

CRD#: 164899

PARKS, AZ

Past

October 14, 1998 - January 12, 2011

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

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".

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

ELLERBROCK-NORRIS WEALTH MANAGEMENT | ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

CRD#: 295099 / SEC#: 801-132779

RIA

Registered Investment Advisory firm - (5/15/2025 Approved)

Nebraska

Registered Investment Advisory firm - (6/5/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/5/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Nebraska
(1/19/2021)

IAR

Texas
(5/26/2021)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/6/2013

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/1/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/13/1998

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: 4/4/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 11/20/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 11/13/2001

General Securities Sales Supervisor - General Module Examination

Current Firm

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

ELLERBROCK-NORRIS WEALTH MANAGEMENT | ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

CRD#: 295099 / SEC#: 801-132779

RIA

Registered Investment Advisory firm - (5/15/2025 Approved)

Nebraska

Registered Investment Advisory firm - (6/5/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/5/2025 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4331 North 156th Street, Omaha, NE 68116

Mailing Address

Phone number

(402) 884-1320

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-04-14 ELLERBROCK-NORRIS WEALTH STRATEGIES FORM ADV PART 2A (4/14/2025)

Regulatory assets under management

Total Number of Accounts	277
AUM (Assets Under Management)	$ 110,551,716

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.

Similar Advisors

Byron Smith

OSAIC WEALTH, INC.

IAR

OMAHA, NE

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Benjamin E. Woods

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Edward Woods's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

BOAZ WEALTH STEWARDSHIP LLC

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/6/2013

Series 65

Date: 9/1/2012

Series 63

Date: 11/13/1998

SIE

Date: 10/1/2018

Series 7

Date: 4/4/2013

Series 9

Date: 11/20/2001

Series 10

Date: 11/13/2001

Current Firm

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

TRUST BUT VERIFY

Similar Advisors