JW
James J. Wood
CAITLIN JOHN
Fort Worth, TX 76244
Some features on this profile are disabled
CRD#: 3223081
JW
Professional summary
James Joshua Wood, CFP®, who also goes by Josh Wood, Josh Wood, is a registered financial advisor currently at CAITLIN JOHN, LLC located in Fort Worth, Texas.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. James has worked at 9 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"?
Yes
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.
Name of Outside Business:Fossil Creek HOA; Investment Related:No; Address of Outside Business:Fort Worth, TX; Nature of Outside Business:Non-profit group; Position:Director; Start Date:4/8/2019; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: This is a volunteer position to be part of the Board of Directors for the HOA in my community where I reside. I will be helping on matters related to my neighborhood and the HOA guidelines to help with upkeep of the neighborhood. I will not be involved in handling any financial accounts or treasury matters.
CRS (Client Relationship Summary) - RIA
Click below to view James Joshua 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®
Experience
Current
March 21, 2025 - Present
CAITLIN JOHN, LLC
Office #1: 9500 Ray White Road Ste 200, Fort Worth, TX 76244RIA
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.
BD
CRD#: 5393
Westlake, TX
Past
January 1, 2014 - January 12, 2024
TD AMERITRADE, INC.
BD
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.
BD
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
BD
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.
BD
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.
BD
CRD#: 7556
PURCHASE, NY
Past
July 30, 1999 - September 20, 1999
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
KANSAS CITY, MO
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".
CJ
CAITLIN JOHN, LLC
A SMARTER WAY TO INVEST, INC | STOCK SENIOR SERVICES | SIMPLY RIA, INC | SCOTT KARL ECONOMIC AND INSURANCE SERVICES | PRIVATE FINANCIAL COUNSEL, LLC. | PRIVATE FINANCIAL COUNSEL | PFC | OUTRIDER WEALTH AND FINANCIAL PLANNING | OLIVIA WEALTH MANAGEMENT | MSM ELITE MARKETING, INC | MONEY STRATEGIES OF MICHIGAN, INC | MONEY STRATEGIES OF MICHIGAN | KIS FINANCIAL, LLC | KIS FINANCIAL | KINGSBURY FINANCIAL ADVISORS | INVESTWISE WEALTH MANAGEMENT, INC. | IMAGINE ADVISORS, LLC | FORMULA FOLIOS PRESTIGE, LLC | DAVY WEALTH MANAGEMENT | COLLEGE PLANNING FRESNO | CJ INSTITUTIONAL | CJ | CAITLIN JOHN, LLC | CAITLIN JOHN PRIVATE WEALTH MANAGEMENT | CAITLIN JOHN | BRIGGS FINANCIAL GROUP, LLC | BRIGGS FINANCIAL GROUP WEALTH ADVISORS | BRIDGEWISE FINANCIAL PARTNERS LLC | BRIDGEWISE FINANCIAL PARTNERS | BFG WEALTH ADVISORS | BFG | BASTION WEALTH MANAGEMENT LLC | ASPEN PRIVATE WEALTH MANAGEMENT | ALIGNMENT FINANCIAL PLANNING, LLC
CRD#: 154494 / SEC#: 801-110731
RIA
Registered Investment Advisory firm - (6/26/2017 Approved)California
Registered Investment Advisory firm - (10/1/2017 Terminated)Florida
Registered Investment Advisory firm - (9/1/2017 Terminated)Georgia
Registered Investment Advisory firm - (9/1/2017 Terminated)Illinois
Registered Investment Advisory firm - (6/26/2017 Terminated)Indiana
Registered Investment Advisory firm - (9/1/2017 Terminated)Kentucky
Registered Investment Advisory firm - (9/5/2017 Terminated)Michigan
Registered Investment Advisory firm - (9/29/2017 Terminated)New Jersey
Registered Investment Advisory firm - (9/1/2017 Terminated)North Carolina
Registered Investment Advisory firm - (9/5/2017 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/6/2017 Terminated)Tennessee
Registered Investment Advisory firm - (9/5/2017 Terminated)Virginia
Registered Investment Advisory firm - (9/5/2017 Terminated)Wisconsin
Registered Investment Advisory firm - (9/5/2017 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
Texas(3/21/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
CJ
CAITLIN JOHN, LLC
A SMARTER WAY TO INVEST, INC | STOCK SENIOR SERVICES | SIMPLY RIA, INC | SCOTT KARL ECONOMIC AND INSURANCE SERVICES | PRIVATE FINANCIAL COUNSEL, LLC. | PRIVATE FINANCIAL COUNSEL | PFC | OUTRIDER WEALTH AND FINANCIAL PLANNING | OLIVIA WEALTH MANAGEMENT | MSM ELITE MARKETING, INC | MONEY STRATEGIES OF MICHIGAN, INC | MONEY STRATEGIES OF MICHIGAN | KIS FINANCIAL, LLC | KIS FINANCIAL | KINGSBURY FINANCIAL ADVISORS | INVESTWISE WEALTH MANAGEMENT, INC. | IMAGINE ADVISORS, LLC | FORMULA FOLIOS PRESTIGE, LLC | DAVY WEALTH MANAGEMENT | COLLEGE PLANNING FRESNO | CJ INSTITUTIONAL | CJ | CAITLIN JOHN, LLC | CAITLIN JOHN PRIVATE WEALTH MANAGEMENT | CAITLIN JOHN | BRIGGS FINANCIAL GROUP, LLC | BRIGGS FINANCIAL GROUP WEALTH ADVISORS | BRIDGEWISE FINANCIAL PARTNERS LLC | BRIDGEWISE FINANCIAL PARTNERS | BFG WEALTH ADVISORS | BFG | BASTION WEALTH MANAGEMENT LLC | ASPEN PRIVATE WEALTH MANAGEMENT | ALIGNMENT FINANCIAL PLANNING, LLC
CRD#: 154494 / SEC#: 801-110731
RIA
Registered Investment Advisory firm - (6/26/2017 Approved)California
Registered Investment Advisory firm - (10/1/2017 Terminated)Florida
Registered Investment Advisory firm - (9/1/2017 Terminated)Georgia
Registered Investment Advisory firm - (9/1/2017 Terminated)Illinois
Registered Investment Advisory firm - (6/26/2017 Terminated)Indiana
Registered Investment Advisory firm - (9/1/2017 Terminated)Kentucky
Registered Investment Advisory firm - (9/5/2017 Terminated)Michigan
Registered Investment Advisory firm - (9/29/2017 Terminated)New Jersey
Registered Investment Advisory firm - (9/1/2017 Terminated)North Carolina
Registered Investment Advisory firm - (9/5/2017 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/6/2017 Terminated)Tennessee
Registered Investment Advisory firm - (9/5/2017 Terminated)Virginia
Registered Investment Advisory firm - (9/5/2017 Terminated)Wisconsin
Registered Investment Advisory firm - (9/5/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1024 E. Grand River Ave Suite B, Brighton, MI 48116
Mailing Address
Phone number
(810) 355-1325
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,005 |
| AUM (Assets Under Management) | $ 183,421,272 |
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.
