JW
James T. Wood
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CRD#: 471992
JW
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 Theodore Wood JR, who also goes by James T Wood Jr, James Theodore Wood, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1972. James had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, PC, Series 1, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James T Wood Jr | James Theodore Wood
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.
Self/James Wood - 2766 So College Dr., Fayetteville, AR - investment related - Owner - Rental property - 12/2018 - minimal hours devoted to the other business - 0 hours devoted during securities trading hours.
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®
NoneExperience
Past
May 11, 2012 - January 20, 2023
STEPHENS
RIA
CRD#: 3496
FAYETTEVILLE, AR
Past
May 11, 2012 - January 20, 2023
STEPHENS
BD
CRD#: 3496
FAYETTEVILLE, AR
Past
June 1, 2009 - May 16, 2012
MORGAN STANLEY
RIA
CRD#: 149777
FAYETTEVILLE, AR
Past
June 1, 2009 - May 16, 2012
MORGAN STANLEY
BD
CRD#: 149777
FAYETTEVILLE, AR
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
FAYETTEVILLE, AR
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
FAYETTEVILLE, AR
Past
August 29, 1991 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
FAYETTEVILLE, AR
Past
March 26, 1990 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
FAYETTEVILLE, AR
Past
October 16, 1987 - April 23, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
October 2, 1984 - October 28, 1987
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
January 9, 1984 - October 1, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
Past
December 16, 1980 - January 23, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
November 1, 1972 - January 23, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
November 1, 1972 - January 23, 1984
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STEPHENS
PROFESSIONAL WEALTH MANAGEMENT PROGRAM | STEPHENSCHOICE | STEPHENS, INC. | STEPHENS UNIFIED MANAGED ACCOUNT | STEPHENS SPECTRUM PROGRAM | STEPHENS SPECTRUM 401K | STEPHENS SMALL-MID CAP GROWTH PROGRAM | STEPHENS SMALL CAP GROWTH PROGRAM | STEPHENS RETIREMENT SOLUTIONS PROGRAM | STEPHENS RETIREMENT ACCESS | STEPHENS REAL RETURN STRATEGY | STEPHENS MANAGED ASSETS PROGRAM | STEPHENS INC. EQUITY RESEARCH SERVICES PROGRAM | STEPHENS INC. | STEPHENS FIXED INCOME MANAGEMENT | STEPHENS ETF SPECTRUM 401K | STEPHENS EQUITY FOCUSED STRATEGY | STEPHENS CAPITAL MANGEMENT - HEALTH MANAGEMENT TRUST | STEPHENS CAPITAL MANAGEMENT NON-DISCRETIONARY | STEPHENS CAPITAL MANAGEMENT FIXED INCOME STRATEGY | STEPHENS CAPITAL MANAGEMENT CASH MANAGEMENT TRUST PROGRAM | STEPHENS CAPITAL MANAGEMENT - PENSION MANAGEMENT TRUST PROGRAM | STEPHENS CAPITAL MANAGEMENT | STEPHENS BROKERAGE SERVICES INC. | STEPHENS ASSET MAXIMIZER PROGRAM | STEPHENS ALLOCATION STRATIGIES PROGRAM | STEPHENS ADVISOR NON-DISCRETIONARY PROGRAM | STEPHENS
CRD#: 3496 / SEC#: 801-15510, 8-1927
RIA
Registered Investment Advisory firm - SEC (9/19/1980 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 7/31/1988
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 10/25/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/29/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STEPHENS
PROFESSIONAL WEALTH MANAGEMENT PROGRAM | STEPHENSCHOICE | STEPHENS, INC. | STEPHENS UNIFIED MANAGED ACCOUNT | STEPHENS SPECTRUM PROGRAM | STEPHENS SPECTRUM 401K | STEPHENS SMALL-MID CAP GROWTH PROGRAM | STEPHENS SMALL CAP GROWTH PROGRAM | STEPHENS RETIREMENT SOLUTIONS PROGRAM | STEPHENS RETIREMENT ACCESS | STEPHENS REAL RETURN STRATEGY | STEPHENS MANAGED ASSETS PROGRAM | STEPHENS INC. EQUITY RESEARCH SERVICES PROGRAM | STEPHENS INC. | STEPHENS FIXED INCOME MANAGEMENT | STEPHENS ETF SPECTRUM 401K | STEPHENS EQUITY FOCUSED STRATEGY | STEPHENS CAPITAL MANGEMENT - HEALTH MANAGEMENT TRUST | STEPHENS CAPITAL MANAGEMENT NON-DISCRETIONARY | STEPHENS CAPITAL MANAGEMENT FIXED INCOME STRATEGY | STEPHENS CAPITAL MANAGEMENT CASH MANAGEMENT TRUST PROGRAM | STEPHENS CAPITAL MANAGEMENT - PENSION MANAGEMENT TRUST PROGRAM | STEPHENS CAPITAL MANAGEMENT | STEPHENS BROKERAGE SERVICES INC. | STEPHENS ASSET MAXIMIZER PROGRAM | STEPHENS ALLOCATION STRATIGIES PROGRAM | STEPHENS ADVISOR NON-DISCRETIONARY PROGRAM | STEPHENS
CRD#: 3496 / SEC#: 801-15510, 8-1927
RIA
Registered Investment Advisory firm - SEC (9/19/1980 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
111 Center Street, Little Rock, AR 72201
Mailing Address
111 Center Street, Little Rock, AR 72201-3507
Phone number
(501) 377-2000
Established
Arkansas since 01/28/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
623
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SI HOLDINGS INC. | SHAREHOLDER COMMON | |
| BRADBURY, CURTIS FRANKLIN JR | VICE CHAIRMAN OF BOARD | 810347 |
| BROOKSHIRE, LAURA STEPHENS | SENIOR EXECUTIVE VICE PRESIDENT | 6513303 |
| CHANEY, DONALD LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER - BROKER DEALER/INVESTMENT ADVISOR | 4341765 |
| DORAMUS, MARK CHRISTOPHER | SENIOR EXECUTIVE VICE PRESIDENT/CFO/SECRETARY/TREASURER | 1888235 |
| EICHLER, JOSEPH BRADFORD | SR EXEC VP, CHIEF OPERATING OFFICER, DIRECTOR | 1999320 |
| HINES, ZOE ANN | EXECUTIVE VP, ASSISTANT CFO & CONTROLLER, DESIGNATED NYSE CHIEF OPERATIONS OFFICER | 709945 |
| MAYO, RACHEL ELIZABETH MONDL | EXECUTIVE VICE PRESIDENT/GENERAL COUNSEL | 7341761 |
| STEPHENS, JOHN CALHOUN | CO-CHIEF EXECUTIVE OFFICER | 5384316 |
| STEPHENS, WARREN MILES AMERINE | CO-CHIEF EXECUTIVE OFFICER | 5399161 |
Regulatory assets under management
| Total Number of Accounts | 21,784 |
| AUM (Assets Under Management) | $ 16,444,534,017 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 3 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/22/2025 | ||
| 02/07/2024 | ||
| 11/29/2022 |
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.
