Jerome C. 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.
Jerome Charles Wood, who also goes by Jerome C Wood, was a registered financial professional .
Jerome is a previously registered financial professional and started their career in finance in 1977. Jerome had worked at 7 firms and has passed the Series 63, Series 3, Series 5, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2006 - May 8, 2012
MORGAN STANLEY & CO. LLC
July 27, 2004 - March 17, 2005
CREDIT SUISSE SECURITIES (USA) LLC
February 12, 2003 - March 17, 2005
CREDIT SUISSE SECURITIES (USA) LLC
April 25, 2000 - February 12, 2003
MORGAN STANLEY DW INC.
July 25, 1987 - February 11, 2003
MORGAN STANLEY MARKET PRODUCTS INC.
February 27, 1980 - February 11, 2003
MORGAN STANLEY & CO. LLC
October 6, 1978 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
September 26, 1978 - August 7, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
Series 5
Date: 6/15/1982
Interest Rate Options ExaminationSeries 8
Date: 5/21/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN STANLEY & CO. LLC
CRD#: 8209 / SEC#: , 8-15869
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| BERKE, MATTHEW EVAN | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER, AND DIRECTOR | 2524594 |
| BHAIMIA, ISMAIL OMAR | DIRECTOR | 6264162 |
| DAMAST, EVAN SCOTT | DIRECTOR | 3198635 |
| HENNESSEY, JACQUELINE A | TEXAS DESIGNATED PRINCIPAL | 2194034 |
| KRAUSE, GARD J | CHIEF COMPLIANCE OFFICER | 2284628 |
| LYNN, GARY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 2162411 |
| MACEJKA, PATRICK NMN | DIRECTOR | 2139145 |
| MORANO, DAVID | PRINCIPAL OPERATIONS OFFICER | 2189287 |
| STERN, MICHAEL A | DIRECTOR | 4939073 |
Disclosures
| Regulatory Event | 487 |
| Civil Event | 5 |
| Arbitration | 56 |
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.
