James G. 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.
James Gilmore Wood, who also goes by Gil Wood, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 14 firms and has passed the Series 66, 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 20, 2015 - June 21, 2023
NOVEM GROUP
August 19, 2015 - June 2, 2023
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
February 7, 2006 - August 24, 2015
COMPREHENSIVE CAPITAL MANAGEMENT, INC.
September 1, 2005 - August 24, 2015
APW CAPITAL, INC.
August 1, 2003 - September 1, 2005
WALNUT STREET SECURITIES, INC.
February 17, 1998 - January 28, 2003
NATHAN & LEWIS SECURITIES, INC.
February 7, 1995 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
April 17, 1991 - February 7, 1995
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 27, 1990 - April 15, 1991
ENSEMBLE FINANCIAL SERVICES, INC.
March 1, 1990 - June 25, 1990
EMPIRE NATIONAL SECURITIES, INCORPORATED
September 17, 1988 - April 24, 1989
FLEET SECURITIES INC.
April 18, 1988 - May 17, 1988
FLEET BROKERAGE SECURITIES, INC.
March 29, 1988 - April 18, 1988
FLEET BROKERAGE SERVICES, INC.
December 23, 1986 - September 8, 1987
IFMG SECURITIES, INC.
October 23, 1985 - October 1, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
NOVEM GROUP
CRD#: 158964 / SEC#: 801-72741
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
Current Firm
NOVEM GROUP
CRD#: 158964 / SEC#: 801-72741
Contact information
SEC notice filing (32 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 1,413,641,568 |
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.
