Howell 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.
Howell Douglas Wood was a registered financial professional .
Howell is a previously registered financial professional and started their career in finance in 1969. Howell had worked at 11 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2002 - January 31, 2012
JOHN HANCOCK DISTRIBUTORS LLC
December 9, 1991 - December 22, 1997
WOOD LOGAN DISTRIBUTORS, INC.
April 13, 1987 - January 1, 2002
MANULIFE WOOD LOGAN, INC.
December 3, 1986 - April 22, 1987
MANUFACTURERS SECURITIES SERVICES, LLC
May 6, 1983 - November 5, 1986
COREBRIDGE CAPITAL SERVICES, INC.
February 2, 1978 - June 17, 1982
MASSACHUSETTS FINANCIAL SERVICES COMPANY
January 6, 1977 - December 28, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
June 29, 1973 - February 7, 1978
MASSACHUSETTS FINANCIAL SERVICES, INC.
June 1, 1973 - February 6, 1976
DREXEL BURNHAM & CO. INCORPORATED
May 12, 1969 - July 19, 1973
DREXEL FIRESTONE 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
Series 1
Date: 12/7/1964
Registered Representative ExaminationSeries 40
Date: 6/4/1973
Registered Principal ExaminationCurrent Firm
JOHN HANCOCK DISTRIBUTORS LLC
CRD#: 5249 / SEC#: , 8-15826
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) | OWNER | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| LANNIGAN, TRACY KANE | VICE PRESIDENT & CORPORATE SECRETARY | 6944688 |
| SILVA, ANTHONY ALEX | DIRECTOR | 7755954 |
| TANKERSLEY, GARY LYNN | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2637199 |
| WALKER, CHRISTOPHER MICHAEL | VICE PRESIDENT, INVESTMENTS & DIRECTOR | 4302554 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
