James J. Wood

ROBINHOOD FINANCIAL

Westlake, TX 76262

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CRD#: 3223081

Professional summary

James Joshua Wood, CFP®, who also goes by Josh Wood, Josh Wood, is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Westlake, Texas.

James is registered as a RR (Registered Representative) and started their career in finance in 1999. James has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Josh Wood | Josh 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Joshua Wood'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®

CFP^®

Certified Financial Planner

Experience

Current

December 22, 2025 - Present

ROBINHOOD FINANCIAL, LLC

Office #1: 1500 Solana Blvd Suite 5500, Westlake, TX 76262

CRD#: 165998

Westlake, TX

Past

March 21, 2025 - December 5, 2025

CAITLIN JOHN, LLC

RIA

CRD#: 154494

Fort Worth, TX

Past

January 26, 2022 - January 12, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Westlake, TX

Past

January 26, 2022 - January 12, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Westlake, TX

Past

January 1, 2014 - January 12, 2024

TD AMERITRADE, INC.

CRD#: 7870

Westlake, TX

Past

December 24, 2013 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

Westlake, TX

Past

December 24, 2013 - September 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Westlake, TX

Past

October 23, 2008 - October 8, 2012

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

ARLINGTON, TX

Past

October 17, 2008 - October 8, 2012

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

ARLINGTON, TX

Past

March 10, 2004 - September 18, 2008

LPL FINANCIAL LLC

RIA

CRD#: 6413

CRYSTAL BAY, NV

Past

March 10, 2004 - September 18, 2008

LPL FINANCIAL LLC

CRD#: 6413

CRYSTAL BAY, NV

Past

January 10, 2003 - March 10, 2004

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

TRUCKEE, CA

Past

November 4, 2002 - March 10, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

September 5, 2002 - November 4, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

RENO, NV

Past

September 15, 1999 - November 4, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 30, 1999 - September 20, 1999

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

KANSAS CITY, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/6/2026)

Alaska
(1/8/2026)

Arizona
(1/6/2026)

Arkansas
(2/19/2026)

California
(1/8/2026)

Colorado
(2/18/2026)

Connecticut
(1/14/2026)

Delaware
(1/6/2026)

District of Columbia
(1/8/2026)

Florida
(1/6/2026)

Georgia
(1/6/2026)

Idaho
(1/6/2026)

Indiana
(1/6/2026)

Iowa
(1/21/2026)

Kansas
(1/5/2026)

Kentucky
(1/7/2026)

Louisiana
(1/6/2026)

Maine
(1/6/2026)

Massachusetts
(1/28/2026)

Michigan
(2/2/2026)

Minnesota
(1/6/2026)

Mississippi
(2/20/2026)

Missouri
(2/4/2026)

Montana
(1/22/2026)

Nebraska
(1/12/2026)

Nevada
(1/5/2026)

New Hampshire
(1/28/2026)

New Jersey
(1/20/2026)

New Mexico
(1/6/2026)

New York
(2/20/2026)

North Carolina
(1/6/2026)

North Dakota
(1/13/2025)

Ohio
(1/7/2026)

Oklahoma
(2/3/2026)

Oregon
(1/22/2026)

Pennsylvania
(1/6/2026)

Puerto Rico
(1/23/2026)

Rhode Island
(1/6/2026)

South Carolina
(1/14/2026)

South Dakota
(1/6/2026)

Tennessee
(1/9/2026)

Texas
(1/5/2026)

Utah
(1/28/2026)

Vermont
(1/7/2026)

Virgin Islands
(1/7/2026)

Virginia
(1/6/2026)

Washington
(2/17/2026)

West Virginia
(1/14/2026)

Wisconsin
(1/7/2026)

Wyoming
(1/6/2026)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/23/2013

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/4/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/22/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/11/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/29/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/14/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ROBINHOOD FINANCIAL, LLC

CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC

CRD#: 165998 / SEC#: , 8-69188

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746

Mailing Address

500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746

Phone number

(650) 761-7789

Established

Delaware since 08/24/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ROBINHOOD MARKETS, INC	100% OWNER
BILLINGS, MATTHEW JOHN	PRESIDENT, CHIEF EXECUTIVE OFFICER	1915377
CAVALLARO, ANTHONY JOSEPH	CHIEF COMPLIANCE OFFICER	1607925
GALVIN, SCOT SEAN	PRINCIPAL OPERATIONS OFFICER	3226179
KELATI, DANIEL T	CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP	3103432
KOLLER, WALTER	CHIEF OPERATING OFFICER	1932260
QUIRK, STEVEN MARK	MANAGER	2728768
SUBRAMANIAN, SIVARAMAKRISHNAN	MANAGER	7339479

Disclosures

Regulatory Event	56
Arbitration	7

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

James J. Wood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Joshua Wood's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAITLIN JOHN, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

SUNSET FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/23/2013

Series 65

Date: 10/4/1999

Series 63

Date: 7/22/1999

SIE

Date: 10/1/2018

Series 31

Date: 10/11/1999

Series 7

Date: 7/29/1999

Series 24

Date: 5/14/2004

FINRA

Current Firm

ROBINHOOD FINANCIAL, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROBINHOOD FINANCIAL, LLC

TRUST BUT VERIFY

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