Gregory B. 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.
Gregory Burton Wood, who also goes by Greg B Wood, Greg Burton Wood, Gregory Burton Wood Jr, was a registered financial advisor .
Gregory is a previously registered financial advisor and started their career in finance in 1969. Gregory had worked at 9 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2003 - April 6, 2004
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - April 6, 2004
WELLS FARGO INVESTMENTS, LLC
February 28, 2001 - May 2, 2001
WELLS FARGO SECURITIES INC.
February 20, 2001 - October 12, 2001
WELLS FARGO SECURITIES, LLC
October 27, 1999 - November 2, 2000
GEORGE K. BAUM & COMPANY
November 25, 1977 - July 19, 1978
LEHMAN BROTHERS INC.
November 17, 1976 - November 25, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
October 13, 1969 - November 8, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
October 10, 1969 - March 31, 1998
PRUDENTIAL EQUITY GROUP, 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
Series 15
Date: 1/22/1987
Foreign Currency Options ExaminationSeries 5
Date: 10/20/1983
Interest Rate Options ExaminationSeries 1
Date: 10/10/1969
Registered Representative ExaminationSeries 40
Date: 12/14/1976
Registered Principal ExaminationSeries 12
Date: 10/10/1969
NYSE Branch Manager ExaminationCurrent Firm
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
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.
