Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Wood has been in the financial services industry since March 17, 1992. Charles Wood is currently registered with Raymond James & Associates, Inc. in Alabama and Texas. Charles Wood has previously been registered with Wells Fargo Advisors, LLC in Alabama, Citigroup Global Markets Inc. in Alabama, and Morgan Stanley DW Inc. in New York. Charles Wood has a Series 63, 65, 3, 7, and SIE license. Charles Wood specializes in providing financial advice to individuals, businesses, corporations, insurance companies, charitable organizations, pension and profit-sharing plans, state or municipal government entities, and banking or thrift institutions. Charles Wood offers a range of advisory services including financial planning, pension consulting, educational seminars, selection of other advisers, and portfolio management for businesses and individuals.
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.
Please see note in schedule d - miscellaneous
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.
1
2
AL
11/28/2016 - Present
Raymond James & Associates, Inc. (FAIRHOPE AL)
AL
08/14/2007 - 06/08/2016
WELLS FARGO ADVISORS, LLC (BAY MINNETTE AL)
AL
04/12/2001 - 08/20/2007
CITIGROUP GLOBAL MARKETS INC. (MOBILE AL)
NY
03/18/1992 - 04/17/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 08/11/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/03/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/1993
Series 3 - National Commodity Futures Examination
BC
Issued 03/16/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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