KW
Keith A. Wood
SYNOVUS SECURITIES
Winter Park, FL 32789
Some features on this profile are disabled
CRD#: 4180392
KW
Professional summary
Keith Aaron Wood is a registered financial advisor currently at SYNOVUS SECURITIES, INC. located in Winter Park, Florida.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Keith has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
ORLANDO, FL; HOLDS STATE OF FLORIDA MORTGAGE LICENSE; NOT INVESTMENT RELATED; 03/2012 - PRESENT; 0 HOURS PER MONTH, 0 DURING TRADING HOURS Premier Orlando Rides LLC | 3005 Alamo Drive, Orlando FL 32805 | Business: Transportation |Position: President| Hours Per Month: 2 | Hours spend during trading: 0 | Investment related: No| Start Date: 04/01/2025 Duties: Filing tax returns and applicable sales tax/business tax and acquisitions of vehicle. | Compensation: Rent from car - Car purchased by FA will be rented to an individual who will drive the vehicle offering transpiration services to executives. FA will receive compensation via rent of the vehicle.
CRS (Client Relationship Summary) - RIA
Click below to view Keith Aaron Wood's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Keith Aaron 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®
NoneExperience
Current
April 1, 2019 - Present
SYNOVUS SECURITIES, INC.
Office #1: 369 North New York Avenue, Winter Park, FL 32789RIA
BD
CRD#: 14023
Winter Park, FL
Current
April 1, 2019 - Present
SYNOVUS SECURITIES, INC.
Office #1: 369 North New York Avenue, Winter Park, FL 32789RIA
BD
CRD#: 14023
Winter Park, FL
Past
May 6, 2015 - April 2, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
WINTER PARK, FL
Past
April 9, 2015 - April 2, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Wintr Park, FL
Past
July 1, 2003 - April 10, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ORLANDO, FL
Past
July 1, 2003 - April 10, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ORLANDO, FL
Past
November 22, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
ORLANDO, FL
Past
November 22, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
May 19, 2000 - December 6, 2000
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
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".
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
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
RR
Alabama(4/1/2019)
IAR
Alabama(4/9/2019)
RR
Arizona(11/2/2020)
IAR
Arizona(11/19/2020)
RR
California(4/1/2019)
IAR
California(4/2/2019)
RR
Colorado(4/1/2019)
IAR
Colorado(4/8/2019)
RR
Florida(4/1/2019)
IAR
Florida(4/8/2019)
RR
Georgia(4/1/2019)
IAR
Georgia(4/30/2019)
RR
Indiana(4/1/2019)
IAR
Indiana(4/1/2019)
RR
Kentucky(4/1/2019)
IAR
Kentucky(4/9/2019)
RR
Louisiana(4/1/2019)
IAR
Louisiana(4/9/2019)
RR
Maryland(4/1/2019)
IAR
Maryland(4/3/2019)
RR
New Jersey(4/1/2019)
IAR
New Jersey(11/12/2021)
RR
New Mexico(4/1/2019)
IAR
New Mexico(4/9/2019)
RR
New York(2/19/2021)
IAR
New York(2/20/2021)
RR
North Carolina(4/1/2019)
IAR
North Carolina(5/22/2019)
RR
Ohio(4/1/2019)
IAR
Ohio(4/2/2019)
RR
Oregon(4/1/2019)
IAR
Oregon(4/12/2019)
RR
Pennsylvania(4/1/2019)
IAR
Pennsylvania(4/4/2019)
RR
Puerto Rico(10/31/2024)
RR
South Carolina(4/1/2019)
IAR
South Carolina(4/25/2019)
RR
South Dakota(7/17/2019)
IAR
South Dakota(7/22/2019)
RR
Tennessee(4/1/2019)
RR
Texas(10/31/2022)
IAR
Texas(11/1/2022)
RR
Virginia(4/1/2019)
IAR
Virginia(4/1/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
33 W 14th Street 3rd Floor, Columbus, GA 31901
Mailing Address
P.o. Box 2628, Columbus, GA 31902-2628
Phone number
(706) 649-2327
Established
Georgia since 06/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
287
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | SYNOVUS SECURITIES, INC PARENT | |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
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.
