Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Sherer Wood is a financial advisor with over 25 years of experience in the industry. James has a wide range of experience having worked with firms like Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co., Incorporated, and Morgan Stanley DW Inc. James is currently registered with LPL Financial LLC in Oklahoma City, OK. James holds licenses for Series 7, 9, 10, 31, 63, and 65, along with the SIE exam. James is currently registered in 52 states and 2 territories. James's expertise and experience allows him to provide a wide array of investment advice to clients, including individuals, corporations, charitable organizations, and pension and profit-sharing plans.
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.
Consulting and other non-discretionary advisory services
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
OK
05/16/2024 - Present
LPL Financial LLC (OKLAHOMA CITY OK)
OK
04/05/2007 - 05/20/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (OKLAHOMA CITY OK)
OK
04/02/2007 - 04/12/2007
MORGAN STANLEY & CO., INCORPORATED (OKLAHOMA CITY OK)
OK
09/09/1998 - 04/02/2007
MORGAN STANLEY DW INC. (OKLAHOMA CITY OK)
IA
Issued 10/02/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/14/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/08/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/25/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/04/2020
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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