Gerald 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.
Gerald Wood, who also goes by Gerald Arthur Wood, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 2000. Gerald had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2008 - July 22, 2014
EFG CAPITAL ADVISORS INC.
November 20, 2007 - February 21, 2008
EFG CAPITAL INTERNATIONAL
November 16, 2007 - December 2, 2010
EFG CAPITAL INTERNATIONAL
November 3, 2003 - March 6, 2006
INSIGNEO WEALTH ADVISORS, LLC
August 9, 2000 - January 3, 2006
INSIGNEO SECURITIES, LLC
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
EFG CAPITAL ADVISORS INC.
CRD#: 112224 / SEC#: 801-32497
Contact information
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.
