Robert G. 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.
Robert Graham Wood was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1964. Robert had worked at 4 firms and has passed the Series 63, Series 41, Series 16, Series 1, Series 8, Series 24 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
July 21, 2017 - December 31, 2019
WOOD CAPITAL MANAGEMENT, INC.
February 23, 1990 - December 20, 1990
THE HERITAGE GROUP, INC.
October 24, 1988 - January 22, 1990
FERRIS, BAKER WATTS, LLC
March 23, 1984 - October 24, 1988
BAKER, WATTS & CO., INC.
February 14, 1964 - November 24, 1978
BAKER, WATTS & CO., 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 41
Date: 1/26/1976
NYSE Allied Member ExaminationSeries 1
Date: 2/12/1964
Registered Representative ExaminationSeries 8
Date: 12/7/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 1/26/1976
Registered Principal ExaminationCurrent Firm
WOOD CAPITAL MANAGEMENT, INC.
CRD#: 107024 / SEC#: 801-96276
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.
