Sherald 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.
Sherald Ann Wood, who also goes by Sherald Ann Cecil, was a registered financial professional .
Sherald is a previously registered financial professional and started their career in finance in 2009. Sherald had worked at 2 firms and has passed the Series 63, 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
August 25, 2015 - November 18, 2016
ALLUVION SECURITIES, LLC
February 13, 2009 - May 1, 2015
CREWS & ASSOCIATES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ALLUVION SECURITIES, LLC
CRD#: 143623 / SEC#: , 8-67584
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
