Douglas 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.
Douglas Donald Wood, who also goes by Doug Wood, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1974. Douglas had worked at 18 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3, PC, Series 1, Series 27, Series 53, Series 9, Series 10, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2022 - May 16, 2022
ALLY INVEST ADVISORS
March 29, 2022 - May 16, 2022
ALLY INVEST SECURITIES LLC
September 23, 2020 - June 22, 2021
CHARLES SCHWAB & CO., INC.
September 23, 2020 - June 22, 2021
CHARLES SCHWAB & CO., INC.
June 8, 2020 - August 13, 2020
USAA INVESTMENT SERVICES COMPANY
May 2, 2019 - August 13, 2020
USAA INVESTMENT SERVICES COMPANY
May 2, 2019 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
October 15, 2018 - November 14, 2018
B. RILEY WEALTH ADVISORS, INC.
October 15, 2018 - November 14, 2018
NATIONAL SECURITIES CORPORATION
October 18, 2017 - October 16, 2018
LPL FINANCIAL LLC
March 15, 2017 - October 16, 2018
LPL FINANCIAL LLC
January 28, 2010 - August 8, 2011
TD AMERITRADE CLEARING, INC.
May 1, 2007 - January 4, 2010
NATIONAL FINANCIAL SERVICES LLC
June 15, 2004 - April 12, 2007
J.J.B. HILLIARD, W.L. LYONS, LLC
January 19, 2001 - April 12, 2007
J.J.B. HILLIARD, W.L. LYONS, LLC
January 2, 1997 - August 31, 1999
ABN AMRO INCORPORATED
July 23, 1987 - January 2, 1997
THE CHICAGO CORPORATION
March 27, 1986 - December 9, 1986
THOMSON MCKINNON SECURITIES INC.
August 23, 1983 - March 12, 1986
MORGAN STANLEY DW INC.
April 14, 1982 - October 25, 1983
THE CHICAGO CORPORATION
March 1, 1982 - August 23, 1983
BLUNT ELLIS & LOEWI INCORPORATED
February 22, 1982 - August 23, 1983
BLUNT ELLIS & LOEWI INCORPORATED
January 7, 1982 - February 26, 1982
THE CHICAGO CORPORATION
November 26, 1979 - December 20, 1981
J.P. MORGAN SECURITIES LLC
April 4, 1978 - December 8, 1979
BLUNT ELLIS & LOEWI INCORPORATED
November 20, 1975 - April 4, 1978
BLUNT ELLIS & SIMMONS INCORPORATED
February 14, 1974 - November 4, 1975
THE CHICAGO CORPORATION
Primary Firm SEC Registration
ALLY INVEST ADVISORS
CRD#: 170301 / SEC#: 801-79305
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
PC
Date: 3/31/1978
AMEX Put and Call ExamSeries 1
Date: 2/6/1974
Registered Representative ExaminationCurrent Firm
ALLY INVEST ADVISORS
CRD#: 170301 / SEC#: 801-79305
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 76,058 |
| AUM (Assets Under Management) | $ 1,389,572,606 |
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.
