Walter W. Wood
Professional summary
Walter Ware Wood III, who also goes by Walter W Wood, Walter Ware Wood, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Covington, Kentucky.
Walter is registered as a RR (Registered Representative) and started their career in finance in 2007. Walter has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Walter Ware Wood III's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 13, 2022 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 50 East Rivercenter Boulevard Suite 600, Covington, KY 41011-1685April 7, 2020 - April 6, 2022
OSAIC WEALTH, INC.
April 7, 2020 - April 6, 2022
OSAIC WEALTH, INC.
December 13, 2017 - July 29, 2019
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 13, 2017 - July 29, 2019
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 5, 2015 - December 28, 2015
RAYMOND JAMES & ASSOCIATES, INC.
March 5, 2015 - December 28, 2015
RAYMOND JAMES & ASSOCIATES, INC.
January 17, 2013 - December 2, 2014
STRATEGIC ADVISERS LLC
February 27, 2012 - December 1, 2014
FIDELITY BROKERAGE SERVICES LLC
May 3, 2010 - January 31, 2012
MORGAN KEEGAN & COMPANY, LLC
March 23, 2010 - January 31, 2012
MORGAN KEEGAN & COMPANY, LLC
July 30, 2007 - March 19, 2010
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/11/2025)
(1/24/2023)
(4/13/2022)
(4/13/2022)
(1/24/2023)
(4/14/2022)
(3/27/2026)
(4/21/2026)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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Company Information
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878Covington, KY 41011-1685TRUST BUT VERIFY
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