David L. 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.
David Lee Wood, who also goes by David L Wood Jr, David Lee Wood Jr, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2012 - September 30, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 2, 2012 - September 30, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
February 16, 2012 - March 23, 2012
MSI FINANCIAL SERVICES, INC.
January 17, 2012 - March 23, 2012
MSI FINANCIAL SERVICES, INC.
April 24, 2009 - February 7, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
January 17, 2006 - December 31, 2008
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 4, 1998 - February 7, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
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
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
