Richard James Wood
Professional Summary
Richard James Wood is a registered financial advisor currently at FIRST HILL SECURITIES, LLC located in Mercer Island, Washington. Richard is registered as a RR (Registered Representative) and started their career in finance in 2003. Richard has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST HILL SECURITIES, LLC
Contact Information
Main Address
6800 S. Dawson Circle, Suite 227, Centennial, CO 80112Mailing Address
6800 S. Dawson Circle, Suite 227, Centennial, CO 80112Phone Number
(303) 953-1981Established
Colorado since 10/15/2012Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(11/13/2013)
(11/22/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard James Wood's CRS (Customer Relationship Summary).
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