Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Wood is a financial advisor with over 17 years of experience in the industry. James has a strong track record of providing financial advice and investment management services to clients. James is a registered representative and principal with Wood Warren & Co. Securities, LLC. James holds the Series 7, 24, 63, 79TO, 99TO, and SIE licenses. James is also a licensed investment advisor representative in the state of 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.
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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CA
11/22/2005 - Present
Wood Warren & Co. Securities, LLC (San Francisco CA)
BC
Issued 11/07/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 09/28/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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