Keenan D. 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.
Keenan Dulaney Wood, who also goes by Keenan D Wood, was a registered financial professional .
Keenan is a previously registered financial professional and started their career in finance in 2002. Keenan had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2021 - July 11, 2022
MONETA GROUP INVESTMENT ADVISORS, LLC
August 9, 2016 - October 24, 2018
CAPITAL CLIENT GROUP, INC.
August 9, 2016 - October 24, 2018
CAPITAL CLIENT GROUP, INC.
July 6, 2015 - July 20, 2016
MONTAGE INVESTMENTS, LLC
June 16, 2015 - July 20, 2016
MSEC, LLC
September 25, 2009 - May 8, 2015
JOHN HANCOCK DISTRIBUTORS LLC
October 15, 2008 - January 26, 2009
WADDELL & REED
October 15, 2008 - January 26, 2009
IVY DISTRIBUTORS, INC.
December 9, 2004 - October 23, 2008
AMERICAN CENTURY INVESTMENT SERVICES INC.
May 30, 2003 - November 1, 2004
ADP BROKER-DEALER, INC.
July 18, 2002 - May 30, 2003
DWS DISTRIBUTORS, INC.
Primary Firm SEC Registration
MONETA GROUP INVESTMENT ADVISORS, LLC
CRD#: 104727 / SEC#: 801-34723
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
MONETA GROUP INVESTMENT ADVISORS, LLC
CRD#: 104727 / SEC#: 801-34723
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 44,504 |
| AUM (Assets Under Management) | $ 42,795,577,115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/09/2024 | ||
| 11/20/2023 | ||
| 01/03/2023 |
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.
