Charles W. 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.
Charles Wendell Wood JR, who also goes by Charlie Wood, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1989. Charles had worked at 5 firms and has passed the Series 63, Series 7, Series 6 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
May 24, 2012 - March 18, 2014
TOUCHSTONE SECURITIES, INC.
March 9, 1998 - May 22, 2012
CINCINNATI ANALYSTS, INC.
May 15, 1996 - March 10, 1998
AMERITAS INVESTMENT COMPANY, LLC
October 28, 1994 - December 12, 1994
1717 CAPITAL MANAGEMENT COMPANY
February 27, 1989 - December 14, 1994
COVENANT SECURITIES, INC.
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
TOUCHSTONE SECURITIES, INC.
CRD#: 1526 / SEC#: , 8-14052
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IFS FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AARTS, ERIK | VP, SENIOR FIXED INCOME STRATEGIST | 2556961 |
| ALGE, BENJAMIN J | PRESIDENT | 6225581 |
| BRAY, TIMOTHY ALLEN | DIVISIONAL VICE PRESIDENT | 1858477 |
| CONNELLY, LINDSAY MICHELLE | AVP & ASSISTANT TREASURER | 7212999 |
| COSTANZA, TIMOTHY JOHN | VP MANAGING DIRECTOR INSTITUTIONAL DEVELOPMENT | 4471461 |
| HERRON, SARAH SPARKS | SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | VP, CORPORATE FINANCE AND TREASURER | 6607547 |
| JONES, MICHAEL STEPHEN | ASSISTANT VICE PRESIDENT | 5537600 |
| KOERNER, RICHARD MICHAEL | VP, SENIOR ETF SALES SPECIALIST | 2249223 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOCK, MARY TAYLOR | SVP & HEAD OF DISTRIBUTION | 5276399 |
| MORSE, JULIE LYNN | SVP, MARKETING | 6743435 |
| MUSGROVE, JOHN S | AVP - ASSISTANT TREASURER | 6607165 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE | 1327230 |
| WIEDENHEFT, TERRIE ANN | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 2619213 |
| WITTMAN, SCOTT | VICE PRESIDENT, TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
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.
