James P. Wood
PAUL WINKLER
Goodlettsville, TN 37072
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CRD#: 3026680
Professional summary
James Philip Wood, CFP®, who also goes by Jim Wood, is a registered financial advisor currently at PAUL WINKLER, INC. located in Goodlettsville, Tennessee.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. James has worked at 8 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim 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) - RIA
Click below to view James Philip 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®
CFP®
Start date: 2001
Experience
Current
September 23, 2014 - Present
PAUL WINKLER, INC.
Office #1: 3050 Business Park Circle Suite 503, Goodlettsville, TN 37072RIA
CRD#: 119342
Goodlettsville, TN
Past
January 14, 2014 - December 31, 2015
A CLEAR STRATEGY, LLC
RIA
CRD#: 169768
SAN RAMON, CA
Past
January 2, 2013 - January 10, 2014
SIGNATURE INVESTMENTS, INC.
RIA
CRD#: 113443
DAYTON, OH
Past
May 1, 2012 - December 31, 2012
SICOR SECURITIES INC
RIA
CRD#: 16195
SAN RAMON, CA
Past
May 1, 2012 - October 10, 2013
SICOR SECURITIES INC
BD
CRD#: 16195
DAYTON, OH
Past
April 1, 2010 - May 7, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
SAN RAMON, CA
Past
April 1, 2010 - May 7, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
SAN RAMON, CA
Past
October 19, 1998 - April 5, 2010
OSAIC FA, INC.
RIA
CRD#: 3978
SAN RAMON, CA
Past
April 16, 1998 - March 31, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
April 16, 1998 - April 5, 2010
OSAIC FA, INC.
BD
CRD#: 3978
SAN RAMON, CA
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".
PW
PAUL WINKLER, INC.
PAUL WINKLER, INC. | THE INVESTOR COACH, INC. | RETIREMENT & INVESTMENT STRATEGIES, INC
CRD#: 119342 / SEC#: 801-128081
RIA
Registered Investment Advisory firm - (6/1/2023 Approved)Alabama
Registered Investment Advisory firm - (7/26/2023 Terminated)Arizona
Registered Investment Advisory firm - (7/26/2023 Terminated)Arkansas
Registered Investment Advisory firm - (7/26/2023 Terminated)California
Registered Investment Advisory firm - (8/25/2023 Terminated)Florida
Registered Investment Advisory firm - (7/26/2023 Terminated)Georgia
Registered Investment Advisory firm - (8/3/2023 Terminated)Indiana
Registered Investment Advisory firm - (7/26/2023 Terminated)Kentucky
Registered Investment Advisory firm - (7/26/2023 Terminated)Louisiana
Registered Investment Advisory firm - (7/26/2023 Terminated)Michigan
Registered Investment Advisory firm - (8/9/2023 Terminated)Mississippi
Registered Investment Advisory firm - (7/26/2023 Terminated)North Carolina
Registered Investment Advisory firm - (8/1/2023 Terminated)Ohio
Registered Investment Advisory firm - (7/26/2023 Terminated)Tennessee
Registered Investment Advisory firm - (7/27/2023 Terminated)Texas
Registered Investment Advisory firm - (7/26/2023 Terminated)Virginia
Registered Investment Advisory firm - (7/26/2023 Terminated)Wisconsin
Registered Investment Advisory firm - (7/26/2023 Terminated)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
Arkansas(1/31/2022)
IAR
California(6/18/2015)
IAR
Kentucky(3/25/2016)
IAR
Mississippi(10/18/2021)
IAR
North Carolina(6/13/2020)
IAR
Tennessee(9/23/2014)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
PW
PAUL WINKLER, INC.
PAUL WINKLER, INC. | THE INVESTOR COACH, INC. | RETIREMENT & INVESTMENT STRATEGIES, INC
CRD#: 119342 / SEC#: 801-128081
RIA
Registered Investment Advisory firm - (6/1/2023 Approved)Alabama
Registered Investment Advisory firm - (7/26/2023 Terminated)Arizona
Registered Investment Advisory firm - (7/26/2023 Terminated)Arkansas
Registered Investment Advisory firm - (7/26/2023 Terminated)California
Registered Investment Advisory firm - (8/25/2023 Terminated)Florida
Registered Investment Advisory firm - (7/26/2023 Terminated)Georgia
Registered Investment Advisory firm - (8/3/2023 Terminated)Indiana
Registered Investment Advisory firm - (7/26/2023 Terminated)Kentucky
Registered Investment Advisory firm - (7/26/2023 Terminated)Louisiana
Registered Investment Advisory firm - (7/26/2023 Terminated)Michigan
Registered Investment Advisory firm - (8/9/2023 Terminated)Mississippi
Registered Investment Advisory firm - (7/26/2023 Terminated)North Carolina
Registered Investment Advisory firm - (8/1/2023 Terminated)Ohio
Registered Investment Advisory firm - (7/26/2023 Terminated)Tennessee
Registered Investment Advisory firm - (7/27/2023 Terminated)Texas
Registered Investment Advisory firm - (7/26/2023 Terminated)Virginia
Registered Investment Advisory firm - (7/26/2023 Terminated)Wisconsin
Registered Investment Advisory firm - (7/26/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3050 Business Park Circle Suite 503, Goodlettsville, TN 37072
Mailing Address
Phone number
(615) 851-1950
Established
Firm type
Fiscal year end
# of Employees
22
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,559 |
| AUM (Assets Under Management) | $ 1,168,234,280 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
