Clayton B. Wood
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Mount Pleasant, SC
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CRD#: 6831251
Professional summary
Clayton Bauer Wood, CFP®, who also goes by Clayton Wood, Clayton Bauer Wood, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Mount Pleasant, South Carolina.
Clayton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Clayton has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Clayton Wood | Clayton Bauer Wood
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.
1) C. B. Wood Financial LLC, 6112 Sandy Point Lane, Belmont NC 28012, United States, 01/01/2021, Founder, AUTHOR, Insurance/Benefits/Human Resources, NIR, 160HR/MO, 160HR/MO TRADING 2)CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 160 HR/MO TRADING, 12/01/2022 3)PINNACLE HEALTH PLANS, 6112 SANDY POINT LANE, BELMONT SC 28012, 01/2024, OWNER, EMPLOYER HEALTH INSURANCE BROKERING/CONSULTING, INV REL, 40 HR/MO - 20 HR/MO TRADING. 4) WOOD FOUNDATION INC., 6112 SANDY POINT LANE, BELMONT NC 28012, 01/2024, PRESIDENT, BOARD MEMBER, NIR, 1 HR/MO - 1 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Clayton Bauer 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®
CFP®
Start date: 2018
Experience
Current
June 15, 2022 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Mount Pleasant, SC
Past
November 26, 2019 - April 4, 2022
CG ADVISORY SERVICES
RIA
CRD#: 110929
Charlotte, NC
Past
April 4, 2019 - December 31, 2019
TLG ADVISORS, INC.
RIA
CRD#: 111052
Charlotte, NC
Past
March 6, 2019 - December 31, 2019
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
June 18, 2018 - March 5, 2019
LINDEN THOMAS AND COMPANY SECURITIES, LLC
BD
CRD#: 290244
CHARLOTTE, NC
Past
April 25, 2018 - June 20, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
CHARLOTTE, NC
Past
August 14, 2017 - March 19, 2018
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
CHARLOTTE, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)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
South Carolina(8/12/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
