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DW

Donald A. Wood

Some features on this profile are disabled
CRD#: 471899
DW

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.

Donald Allen Wood was a registered financial advisor .

Donald is a previously registered financial advisor and started their career in finance in 1982. Donald had worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 1 and Series 39 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 13, 2011 - April 27, 2011

O & G SECURITIES, INC.

BD
CRD#: 143477
DENTON, TX
Past

October 23, 2009 - March 22, 2010

EDWARD JONES

RIA
CRD#: 250
AUBREY, TX
Past

September 29, 2009 - March 22, 2010

EDWARD JONES

BD
CRD#: 250
AUBREY, TX
Past

October 10, 2000 - April 30, 2001

INVESTMENT CENTERS OF AMERICA, INC.

BD
CRD#: 16443
APPLETON, WI
Past

February 10, 2000 - December 19, 2000

SISUNG SECURITIES CORPORATION

BD
CRD#: 25752
METAIRIE, LA
Past

July 18, 1994 - January 24, 2000

MANULIFE WOOD LOGAN, INC.

BD
CRD#: 19177
STAMFORD, CT
Past

January 22, 1993 - December 31, 1993

SIGNAL SECURITIES, INC.

BD
CRD#: 15916
FORT WORTH, TX
Past

February 6, 1991 - December 31, 1992

SIGNAL SECURITIES, INC.

BD
CRD#: 15916
FORT WORTH, TX
Past

June 16, 1987 - January 11, 1991

MANULIFE WOOD LOGAN, INC.

BD
CRD#: 19177
STAMFORD, CT
Past

October 13, 1983 - March 17, 1987

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
Past

October 7, 1982 - March 2, 1983

ALMA SECURITIES CORPORATION

BD
CRD#: 8433
Past

March 22, 1982 - August 13, 1982

D.K. HEDREEN & CO.INC.

BD
CRD#: 10263

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/22/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/20/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/28/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 3/25/1978
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 4/8/1980
Direct Participation Programs Principal Examination

Current Firm

O&
O & G SECURITIES, INC.
O & G SECURITIES, INC.

CRD#: 143477 / SEC#: , 8-67569

BD
Terminated by SEC on 09/05/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 11/21/2006
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SIMPSON, MARY MARTHACCO/CEO/PRESIDENT
SIMMONS, BRAD LEECFO/FINOP3129381

Disclosures

Regulatory Event1

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.

Company Information

O & G SECURITIES, INC.

CRD#: 143477

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