Brian 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.
Brian Thomas Wood, who also goes by Brian Wood, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2008. Brian had worked at 11 firms and has passed the Series 66, SIE 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
September 18, 2023 - April 10, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 15, 2023 - April 10, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 21, 2022 - March 29, 2023
TRANSAMERICA CAPITAL, LLC
August 22, 2022 - December 16, 2022
MEEDER ADVISORY SERVICES, INC.
August 17, 2022 - December 16, 2022
MEEDER DISTRIBUTION SERVICES, INC.
November 8, 2018 - June 7, 2021
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
April 25, 2017 - November 8, 2018
MANULIFE INVESTMENT MANAGEMENT (US) LLC
February 10, 2017 - June 7, 2021
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
May 9, 2011 - January 20, 2017
TOUCHSTONE ADVISORS INC
May 9, 2011 - January 20, 2017
TOUCHSTONE SECURITIES, INC.
October 1, 2008 - April 27, 2011
UBS FINANCIAL SERVICES INC.
September 9, 2008 - April 27, 2011
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
