Douglas A. 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.
Douglas A Wood was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2008. Douglas had worked at 2 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2008 - December 31, 2016
NORTH PIER FIDUCIARY MANAGEMENT, LLC
May 1, 2008 - October 16, 2008
OPPENHEIMER & CO. INC.
April 7, 2008 - October 16, 2008
OPPENHEIMER & CO. INC.
Primary Firm SEC Registration
NORTH PIER FIDUCIARY MANAGEMENT, LLC
CRD#: 148128 / SEC#: 801-69545
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
NORTH PIER FIDUCIARY MANAGEMENT, LLC
CRD#: 148128 / SEC#: 801-69545
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 1,106,583,614 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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