Donna 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.
Donna Wood, CFP®, who also goes by Donna Marie Herion, Donna Marie Wood, Donna Wood, was a registered financial professional .
Donna is a previously registered financial professional and started their career in finance in 2002. Donna had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2004
Experience
March 23, 2006 - August 24, 2023
WOOD SMITH ADVISORS LLC
April 9, 2003 - March 23, 2006
MML INVESTORS SERVICES, LLC
April 2, 2003 - March 23, 2006
MML INVESTORS SERVICES, LLC
April 2, 2002 - March 20, 2003
EQUITABLE ADVISORS, LLC
January 9, 2002 - March 20, 2003
EQUITABLE ADVISORS, 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
WOOD SMITH ADVISORS LLC
CRD#: 139672 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 140 |
| AUM (Assets Under Management) | $ 32,341,000 |
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.
