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James Alan Wood

Truist Securities, Inc.

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About James Alan Wood

James Alan Wood is a registered representative of Truist Securities, Inc. He is licensed to sell securities in all 50 states, the District of Columbia, and Puerto Rico. James has been in the securities industry since 1998 and has extensive experience in the field. He is committed to providing his clients with the highest level of service and expertise. James holds Series 7 and Series 63 licenses. He is also a SIE Exam holder.

Firm Information

James Wood is currently registered with Truist Securities, Inc.. Truist Securities, Inc. is a Corporation formed in July 1972. The firm is registered with the SEC and in all 50 states, as well as in the District of Columbia, Puerto Rico, and the U.S. Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

309

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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James Wood’s Registration & Firm History

NY

12/10/2012 - Present

Truist Securities, Inc. (NEW YORK NY)

NY

06/24/2010 - 07/03/2012

UBS SECURITIES LLC (NEW YORK NY)

CT

04/20/2009 - 06/10/2010

JEFFERIES & COMPANY, INC. (STAMFORD CT)

CT

04/20/2009 - 06/10/2010

JEFFERIES HIGH YIELD TRADING, LLC (STAMFORD CT)

NY

01/22/2007 - 04/01/2009

UBS SECURITIES LLC (NEW YORK NY)

CT

01/03/2006 - 11/16/2006

CRT CAPITAL GROUP LLC (STAMFORD CT)

NY

01/14/2005 - 01/06/2006

RBC DAIN RAUSCHER INC. (NEW YORK NY)

NY

09/14/2000 - 01/18/2005

RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)

NY

04/28/1999 - 07/07/2000

SG COWEN SECURITIES CORPORATION (NEW YORK NY)

NY

02/18/1997 - 04/05/1999

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/24/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/14/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for James Alan Wood.
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