Grahame 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.
Grahame Wood, who also goes by Grahame Wood III, Grahame Wood Jr., was a registered financial professional .
Grahame is a previously registered financial professional and started their career in finance in 1978. Grahame had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 15, Series 5, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2020 - June 2, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 16, 2020 - June 2, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 1, 2008 - November 18, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - November 18, 2020
WELLS FARGO CLEARING SERVICES, LLC
October 8, 2003 - January 1, 2008
A. G. EDWARDS & SONS, INC.
January 25, 1993 - January 3, 2008
A. G. EDWARDS & SONS, INC.
November 18, 1983 - January 29, 1993
J.C. BRADFORD & CO.
September 27, 1978 - March 5, 1984
THOMSON MCKINNON SECURITIES 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
Series 15
Date: 12/15/1982
Foreign Currency Options ExaminationSeries 5
Date: 1/22/1982
Interest Rate Options ExaminationSeries 1
Date: 9/20/1978
Registered Representative ExaminationCurrent 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.
