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PW

Patrick A. Wood

DELPHX SERVICES
Somerset, NJ 08873
Some features on this profile are disabled
CRD#: 3013745
PW

Professional summary

Patrick Alexander Wood is a registered financial professional currently at DELPHX SERVICES CORPORATION located in Somerset, New Jersey.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 2012. Patrick has worked at 2 firms and has passed the Series 63, Series 82TO, Series 7TO, SIE and Series 37 exams.

top-8-questions

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) - BD

Click below to view Patrick Alexander 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®
None

Experience

Current

March 15, 2022 - Present

DELPHX SERVICES CORPORATION

Office #1: 265 Davidson Avenue, Suite 210, Somerset, NJ 08873
BD
CRD#: 141368
Somerset, NJ
Past

July 19, 2012 - September 24, 2012

BLV SECURITIES

BD
CRD#: 35205
ORADELL, NJ

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
RR
Series 63
Date: 8/13/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 7TO
Date: 3/15/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/8/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 37
Date: 7/18/2012
Canada Module of the General Securities Registered Representative (With Options Questions)
SRO Registrations
RR
FINRA

Current Firm

DS
DELPHX SERVICES CORPORATION
DELPHX SERVICES CORPORATION | OPTIMAL INVESTMENT CORPORATION

CRD#: 141368 / SEC#: , 8-67379

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
265 Davidson Avenue, Suite 210, Somerset, NJ 08873
Mailing Address
265 Davidson Avenue, Suite 210, Somerset, NJ 08873
Phone number
(908) 231-1000
Established
Delaware since 02/02/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DELPHX CORPORATIONOWNER OF ALL DELPHX SERVICES CORPORATION SHARES
DUMONT, SUSAN ELIZABETHCHIEF COMPLIANCE OFFICER2346501
STOUBER, RANDYCHIEF EXECUTIVE OFFICER1104531

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

DELPHX SERVICES CORPORATION

CRD#: 141368Somerset, NJ 08873

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