Lawrence B. 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.
Lawrence B Wood, who also goes by Lawrence B Wood, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1998. Lawrence had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 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
January 8, 2024 - December 23, 2024
AVANTAX ADVISORY SERVICES
June 13, 2018 - December 22, 2020
SQUAR MILNER FINANCIAL SERVICES, LLC
May 12, 2014 - January 2, 2018
WIPFLI FINANCIAL ADVISORS, LLC
April 28, 2014 - December 21, 2015
VALMARK ADVISERS, INC.
April 22, 2014 - December 21, 2015
VALMARK SECURITIES, INC.
July 29, 2005 - April 17, 2014
KESTRA INVESTMENT SERVICES, LLC
July 29, 2005 - April 17, 2014
KESTRA INVESTMENT SERVICES, LLC
February 18, 2005 - May 24, 2011
DZH PHILLIPS PRIVATE CLIENT SERVICES LLC
May 7, 2003 - July 29, 2005
VALMARK ADVISERS, INC.
March 21, 2003 - July 29, 2005
VALMARK SECURITIES, INC.
June 15, 2001 - April 15, 2003
EAGLE STRATEGIES LLC
June 7, 2001 - March 26, 2003
NYLIFE SECURITIES LLC
December 17, 1998 - June 6, 2001
AVANTAX INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
