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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian David Wood is a financial advisor who has been in the industry since 2003. Brian is currently registered with Morgan Stanley and has previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Investment Services, Inc., CUNA Brokerage Services, Inc., American Express Financial Advisors Inc., and IDS Life Insurance Company. Brian is registered to provide investment advice in California.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
04/11/2018 - Present
Morgan Stanley (Newport Beach CA)
CA
10/23/2009 - 04/02/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
CA
11/17/2005 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (RIVERSIDE CA)
IA
06/23/2004 - 09/16/2005
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
MN
11/27/2002 - 04/30/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
11/27/2002 - 04/30/2004
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 01/15/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/05/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/26/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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