Richard T. 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.
Richard Todd Wood, who also goes by Todd R Wood, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2004. Richard had worked at 4 firms and has passed the Series 65, Series 66, Series 3, Series 31, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2023 - May 31, 2023
AGILE CAPITAL
April 26, 2019 - December 31, 2022
AGILE CAPITAL
January 2, 2015 - December 31, 2018
AGILE CAPITAL
November 10, 2010 - June 13, 2014
PROVIDENT CAPITAL MANAGEMENT INC
August 12, 2005 - July 18, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 2005 - July 18, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 5, 2004 - August 24, 2005
MORGAN STANLEY DW INC.
June 21, 2004 - August 24, 2005
MORGAN STANLEY DW 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
Current Firm
AGILE CAPITAL
CRD#: 174102 / SEC#: 801-80776
Contact information
Regulatory assets under management
| Total Number of Accounts | 17 |
| AUM (Assets Under Management) | $ 53,556,942 |
Red Flags
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