James J. Wood

OSAIC WEALTH

St. Louis, MO 63141

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CRD#: 4325856

Professional summary

James Joseph Wood IV, CFP® is a registered financial advisor currently at OSAIC WEALTH, INC. located in St. Louis, Missouri and NWF ADVISORY SERVICES INC located in Creve Coeur, Missouri.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

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.

1. ST. LOUIS COUNTY LIBRARY FOUNDATION POSITION: Trustee NATURE: Not-for-profit foundation supporting the St. Louis County Library system. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2016; ADDRESS: 1640 South Lindbergh Blvd., St. Louis MO 63131, United States; DESCRIPTION: Member of the Board of Trustees and member of the Finance Committee 2. CEPAD USA POSITION: Advisory Board Member NATURE: Provide charitable assistance to individuals in Nicaragua. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: PO Box 1679, Brevard NC 28712, United States DESCRIPTION: Meet with other Board members to provide direction to Director of the charity. 3. THE COLLEGE SCHOOL OF WEBSTER GROVES POSITION: Advisory Trustee/Treasurer NATURE: Private K-8 School INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2021 ADDRESS: 7825 Big Bend Blvd., Webster Groves MO 63119, United States DESCRIPTION: Serve on Advisory Board of Directors, Chair the Finance Committee - no control on any financial assets. 4. NWF ADVISORY SERVICES, INC. POSITION: Investment Advisory Representative NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 06/18/2024 ADDRESS: 11835 West Olympic Blvd., #1155 East, Los Angeles CA 90064, United States DESCRIPTION: I do financial planning for clients with NWF Advisory Services. I work in St. Louis MO but NWF is located in Los Angeles, CA. 5. CUT-N-JUMP, LLC POSITION: Owner NATURE: This an LLC formed by me and my wife solely to own a condo interest in a property in Steamboat, CO. There is no business activity except payments to the condo association for HOA fees and payment on a loan to Central Bank in Missouri for the loan on the property. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/04/2025 ADDRESS: 28 MARSHALL PL, SAINT LOUIS MO 63119-2321, United States DESCRIPTION: There are no duties. I disclose this only because it is an LLC. There is no business; condo is not rented to others and is only used for family leisure. 6. WEDGE ADVISORS, LLC POSITION: Managing Member NATURE: I formed an LLC because I wanted to have a way to provide other employees with ownership interest in the financial planning practice. The LLC is simply a pass-through entity to track this. All securities and commission related income still pass through the same bank account but then are transferred to the LLC to account for ownership interest by this (these) other employee(s). INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2023 ADDRESS: 530 Maryville Centre Dr, Suite 315, St. Louis MO 63141, United States DESCRIPTION: The duties for this are simply to provide accounting for the entity. There is no other activity except to manage the ownership interest. 7. PATHMARK WEALTH ADVISORS POSITION: Certified Financial Planner professional NATURE: Marketing name for Wedge Advisors, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 02/20/2026 ADDRESS: 530 Maryville Centre Dr, Suite 315, Saint Louis MO 63141, United States DESCRIPTION: Certified Financial Planner professional

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Joseph Wood IV's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Joseph Wood IV's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

March 10, 2009 - Present

OSAIC WEALTH, INC.

Office #1: 540 Maryville Centre Dr Suite 325, St. Louis, MO 63141

RIA

CRD#: 23131

St. Louis, MO

Current

June 7, 2024 - Present

NWF ADVISORY SERVICES INC

Office #1: 530 Maryville Centre Dr. #315, Creve Coeur, MO 63141

RIA

CRD#: 110410

Creve Coeur, MO

Current

September 16, 2005 - Present

OSAIC WEALTH, INC.

Office #1: 540 Maryville Centre Dr Suite 325, St. Louis, MO 63141

RIA

CRD#: 23131

St. Louis, MO

Past

September 26, 2005 - July 6, 2022

PREMIER FINANCIAL PARTNERS, LLC

RIA

CRD#: 132043

ST. LOUIS, MO

Past

September 15, 2004 - September 8, 2005

PREMIER FINANCIAL PARTNERS, LLC

RIA

CRD#: 132043

ST. LOUIS, MO

Past

May 19, 2004 - September 19, 2005

LPL FINANCIAL LLC

RIA

CRD#: 6413

ST. LOUIS, MO

Past

May 19, 2004 - September 19, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 1, 2002 - May 25, 2004

WS GRIFFITH SECURITIES, INC.

RIA

CRD#: 10410

ST. LOUIS , MO

Past

January 8, 2001 - May 25, 2004

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver 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.

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

Arizona
(3/15/2023)

Arkansas
(4/17/2013)

IAR

Arkansas
(4/18/2013)

California
(3/5/2019)

Colorado
(7/29/2014)

IAR

Colorado
(7/30/2014)

Florida
(9/16/2005)

IAR

Florida
(1/7/2010)

Georgia
(1/15/2008)

IAR

Georgia
(1/15/2010)

Illinois
(9/16/2005)

IAR

Illinois
(1/5/2010)

Kansas
(1/19/2007)

IAR

Kansas
(1/5/2010)

Kentucky
(2/15/2019)

IAR

Kentucky
(2/15/2019)

Louisiana
(5/15/2014)

IAR

Louisiana
(5/15/2014)

Massachusetts
(3/6/2024)

Michigan
(10/15/2025)

Minnesota
(6/5/2015)

IAR

Minnesota
(6/5/2015)

Missouri
(9/16/2005)

IAR

Missouri
(3/10/2009)

Nevada
(1/16/2019)

IAR

Nevada
(2/1/2019)

New York
(10/25/2011)

North Carolina
(1/12/2015)

Ohio
(2/13/2018)

IAR

Ohio
(2/13/2018)

Oregon
(5/5/2025)

Pennsylvania
(5/31/2022)

South Carolina
(5/30/2012)

IAR

South Carolina
(6/1/2012)

Texas
(1/11/2013)

IAR

Texas
(2/10/2015)

Utah
(3/27/2019)

Virginia
(9/16/2005)

IAR

Virginia
(1/5/2010)

Washington
(2/20/2025)

Wisconsin
(3/9/2016)

IAR

Wisconsin
(3/9/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/29/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/15/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/5/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (1/7/2026)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

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Firm Stability Insights

James J. Wood

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Joseph Wood IV's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view James Joseph Wood IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

NWF ADVISORY SERVICES INC

OSAIC WEALTH, INC.

PREMIER FINANCIAL PARTNERS, LLC

PREMIER FINANCIAL PARTNERS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WS GRIFFITH SECURITIES, INC.

WS GRIFFITH SECURITIES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/29/2002

Series 63

Date: 3/15/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/5/2001

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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