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KW

Kathleen J. Wood

BRUCE WOOD CAPITAL
SHOREWOOD, WI 53211
Some features on this profile are disabled
CRD#: 5475675
KW

Professional summary

Kathleen Jo Wood, who also goes by Kathleen J Svoboda, Kathleen Jo Svoboda, is a registered financial advisor currently at BRUCE WOOD CAPITAL, LLC located in Shorewood, Wisconsin.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Kathleen has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kathleen J Svoboda | Kathleen Jo Svoboda

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.
TREASURER BOARD OF DIRECTORS, STEVENSON HIGH SCHOOL HOCKEY ASSOCIATION, PO BOX 542, LINCOLNSHIRE, , ILLINOIS, 60069, UNITED STATES OF AMERICA, NON-PROFIT, START DATE: 7/26/2016, HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0-5, TREASURER - ACCOUNTS PAYABLE, OPERATIONAL ASSISTANCE, ACCOUNTS RECEIVABLE, CO-SIGNER ON BANK ACCOUNTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Jo 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®
None

Experience

Current

February 13, 2025 - Present

BRUCE WOOD CAPITAL, LLC

Office #1: 4314 N Wilson Dr Unit 1, Shorewood, WI 53211
RIA
CRD#: 331360
SHOREWOOD, WI
Past

January 28, 2022 - April 16, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
Milwaukee, WI
Past

January 26, 2022 - January 27, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
Milwaukee, WI
Past

January 26, 2022 - April 16, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Milwaukee, WI
Past

April 13, 2021 - December 1, 2021

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
MILWAUKEE, WI
Past

October 11, 2020 - June 9, 2021

ONEDIGITAL

RIA
CRD#: 106766
Oak Brook, IL
Past

October 1, 2020 - March 31, 2021

TRIAD ADVISORS LLC

BD
CRD#: 25803
Oak Brook, IL
Past

December 23, 2019 - October 2, 2020

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
OAK BROOK, IL
Past

November 22, 2010 - October 2, 2020

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
OAK BROOK, IL

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
Wisconsin
(2/13/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/11/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/3/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/17/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/19/2010
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BW
BRUCE WOOD CAPITAL, LLC
BRUCE WOOD CAPITAL, LLC

CRD#: 331360 / SEC#:

Wisconsin
Registered Investment Advisory firm - (2/13/2025 Approved)
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Contact information

Main Address
4314 N Wilson Dr Unit 1, Shorewood, WI 53211
Mailing Address
Phone number
(414) 666-8102
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts21
AUM (Assets Under Management)$ 11,700,000

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
WisconsinERA - Withdrawn1/30/2025

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.

Company Information

BRUCE WOOD CAPITAL, LLC

CRD#: 331360Shorewood, WI 53211

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