Stephen P. 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.
Stephen Paul Wood was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2002. Stephen had worked at 6 firms and has passed the Series 63, Series 65, SIE 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
July 8, 2005 - June 29, 2018
RUSSELL INVESTMENTS
July 8, 2005 - June 29, 2018
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
July 26, 2004 - March 23, 2005
MANNING & NAPIER ADVISORS, LLC
July 26, 2004 - March 23, 2005
MANNING & NAPIER INVESTOR SERVICES, INC.
April 14, 2003 - June 24, 2004
FISHER INVESTMENTS
September 30, 2002 - March 21, 2003
ALLIANCEBERNSTEIN INVESTMENTS, INC.
Primary Firm SEC Registration
RUSSELL INVESTMENTS
CRD#: 105734 / SEC#: 801-17141
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RUSSELL INVESTMENTS
CRD#: 105734 / SEC#: 801-17141
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 69,312 |
| AUM (Assets Under Management) | $ 62,376,876,918 |
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.
