SW
Steven D. Wood
GREENWOOD INVESTORS LLC
Miramar Beach, FL
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CRD#: 4810638
SW
Professional summary
Steven Duncan Wood is a registered financial advisor currently at GREENWOOD INVESTORS LLC located in Miramar Beach, Florida.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Steven has worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
STEVEN IS THE MANAGING MEMBER OF GREENWOOD INVESTORS LLC, A REGISTERED INVESTMENT ADVISORY BUSINESS THAT MANAGES DISCRETIONARY ACCOUNTS FOR INSTITUTIONS AND INDIVIDUALS. GREENWOOD INVESTORS BEGAN TAKING CLIENTS IN JANUARY 2011. WHILE MUCH OF THE TIME SPENT ON GREENWOOD IS DEDICATED TO RESEARCHING INVESTMENT PROSPECTS. NON-RESEARCH TIME DEDICATED TO GREENWOOD INVESTORS IS ESTIMATED AT LESS THAN 5 HOURS A WEEK. DURING TRADING HOURS, VERY LITTLE TIME IS DEDICATED TO NON-RESEARCH-RELATED ACTIVITIES. NON-RESEARCH-RELATED FUNCTIONS INCLUDE KEEPING BOOKS AND RECORDS UP TO DATE, COMPLIANCE REVIEWS, AND ANSWERING CLIENT QUESTIONS REGARDING THEIR ACCOUNTS AND STARTING UP AN ACCOUNT.
Steven Wood serves as a director for the advisory board of Cortland Associates, Inc.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Duncan Wood's CRS (Customer Relationship Summary).
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
Current
April 15, 2011 - Present
GREENWOOD INVESTORS LLC
Office #2: 1270 Avenue Of The Americas 7th Floor, New York, NY 10020Office #3: 495 Grand Blvd Suite 206, Miramar Beach, FL 32550RIA
CRD#: 155088
Miramar Beach, FL
Past
June 22, 2009 - September 27, 2013
CARR SECURITIES CORPORATION
BD
CRD#: 1404
PORT WASHINGTON, NY
Past
September 1, 2006 - January 11, 2008
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
Past
June 19, 2006 - August 25, 2006
KELLOGG CAPITAL GROUP LLC
BD
CRD#: 35032
LA JOLLA, CA
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".
GI
GREENWOOD INVESTORS LLC
GREENWOOD INVESTORS LLC | TBD WOODBRIDGE
CRD#: 155088 / SEC#: 801-113075
RIA
Registered Investment Advisory firm - (4/27/2018 Approved)Florida
Registered Investment Advisory firm - (6/6/2019 Approved)Louisiana
Registered Investment Advisory firm - (4/15/2011 Approved)New York
Registered Investment Advisory firm - (11/8/2010 Approved)Texas
Registered Investment Advisory firm - (8/29/2012 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Florida(6/7/2019)
IAR
Louisiana(4/15/2011)
IAR
Texas(8/29/2012)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
GI
GREENWOOD INVESTORS LLC
GREENWOOD INVESTORS LLC | TBD WOODBRIDGE
CRD#: 155088 / SEC#: 801-113075
RIA
Registered Investment Advisory firm - (4/27/2018 Approved)Florida
Registered Investment Advisory firm - (6/6/2019 Approved)Louisiana
Registered Investment Advisory firm - (4/15/2011 Approved)New York
Registered Investment Advisory firm - (11/8/2010 Approved)Texas
Registered Investment Advisory firm - (8/29/2012 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1270 Avenue Of The Americas 7th Floor, New York, NY 10020
Mailing Address
Phone number
(212) 920-4207
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 37 |
| AUM (Assets Under Management) | $ 116,493,122 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
