James M. 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.
James Michael Wood, who also goes by Mike Wood, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 10 firms and has passed the Series 63, SIE, Series 31, Series 1 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
June 3, 2009 - March 8, 2019
QUESTAR ASSET MANAGEMENT, INC.
December 1, 2006 - March 8, 2019
QUESTAR CAPITAL CORPORATION
July 25, 2005 - December 1, 2006
USALLIANZ SECURITIES, INC.
April 25, 2001 - July 26, 2005
OSAIC FS, INC.
July 1, 1992 - June 14, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 6, 1992 - April 12, 2001
PIM FINANCIAL SERVICES, INC.
January 15, 1992 - June 14, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 28, 1990 - April 30, 1992
HUNTINGDON SECURITIES CORPORATION
June 17, 1974 - April 26, 1990
CINCINNATI ANALYSTS, INC.
September 19, 1972 - August 1, 1974
ADVANCE PLANNING CORPORATION
May 17, 1971 - September 30, 1972
FML FUNDS DISTRIBUTION COMPANY
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: 5/11/1971
Registered Representative ExaminationCurrent Firm
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
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.
