AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DW

Donna B. Wood

CAPITAL MANAGEMENT OF THE CAROLINAS
Charlotte, NC 28203
Some features on this profile are disabled
CRD#: 7984544
DW

Professional summary

Donna Boone Wood is a registered financial professional currently at CAPITAL MANAGEMENT OF THE CAROLINAS, LLC located in Charlotte, North Carolina.

Donna is registered as a RR (Registered Representative) and started their career in finance in 2024. Donna has worked at 1 firm and has passed the Series 63, Series 6TO, SIE and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Donna Boone 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

October 24, 2024 - Present

CAPITAL MANAGEMENT OF THE CAROLINAS, LLC

Office #1: 1520 South Boulevard, Suite 230, Charlotte, NC 28203
BD
CRD#: 110643
Charlotte, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(11/20/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 10/24/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/24/2024
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/31/2024
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CM
CAPITAL MANAGEMENT OF THE CAROLINAS, LLC
CAPITAL MANAGEMENT OF THE CAROLINAS, LLC

CRD#: 110643 / SEC#: , 8-53149

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1520 South Boulevard, Suite 230, Charlotte, NC 28203
Mailing Address
1520 South Boulevard, Suite 230, Charlotte, NC 28203
Phone number
(704) 332-3131
Established
North Carolina since 11/15/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MORIN, MICHAEL LEWISPARTNER/VICE PRESIDENT2951550
RIVERS, JAMES CALVIN JRPARTNER1067542
THE KENNETH LEE CARTER, JR. REVOCABLE TRUSTTRUST
DOUGLASS, REBECCA GENTRYPARTNER1213829
CARTER, KENNETH LEE JRPARTNER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/TRUSTEE2822127
YAGER, SHERRI LYNNCHIEF COMPLIANCE OFFICER2660363

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

CAPITAL MANAGEMENT OF THE CAROLINAS, LLC

CRD#: 110643Charlotte, NC 28203

TRUST BUT VERIFY

Monitor Donna Wood

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

David Blair Thompson
David ThompsonAdvisorCheck Check Mark
SPARTA WEALTH PARTNERS
IAR
RR
CHARLOTTE, NC
Jon Hoyle
Jon HoyleAdvisorCheck Check Mark
INNOVATION PARTNERS LLC
RR
Charlotte, NC
Andrew Michael Pasquale Digirolamo
Andrew DigirolamoAdvisorCheck Check Mark
PFS INVESTMENTS INC.
RR
Charlotte, NC
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.