Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Derrick Wood is a financial advisor in San Francisco, CA. James has been in the industry since 2001 and is currently registered with TD Securities (USA) LLC. Before joining TD Securities, James worked at Cowen and Company, Susquehanna Financial Group, LLLP, and Wedbush Securities Inc. James holds the Series 7, Series 63, Series 87, and SIE licenses.
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.
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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2
CA
03/05/2024 - Present
TD Securities (usa) LLC (SAN FRANCISCO CA)
CA
04/08/2016 - 04/11/2024
COWEN AND COMPANY (San Francisco CA)
CA
09/15/2010 - 03/22/2016
SUSQUEHANNA FINANCIAL GROUP, LLLP (SAN FRANCISCO CA)
CA
03/06/2009 - 09/02/2010
WEDBUSH SECURITIES INC. (SAN FRANCISCO CA)
CA
05/30/2001 - 07/08/2009
PACIFIC GROWTH EQUITIES, LLC (SAN FRANCISCO CA)
BC
Issued 11/07/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 05/29/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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