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Michael Scott Wood

Apex Clearing Corp.

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About Michael Scott Wood

Michael Scott Wood is a financial professional based in Dallas, TX. Michael has been in the industry since 2006 and is currently registered with Apex Clearing Corp. Michael has a variety of experience in the industry, including previous roles with Penson Financial Services, Inc., Southwest Securities, Inc., and First Southwest Company. Michael holds the Series 7, Series 63, SIE and Series 99TO licenses.

Firm Information

Michael Wood is currently registered with Apex Clearing Corp.. Apex Clearing Corp. is a corporation formed in December 1978. The firm is registered in 53 states and the District of Columbia and has 1 approved SEC registration. Apex Clearing Corp. has been subject to 47 regulatory events and 8 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

126

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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Michael Wood’s Registration & Firm History

TX

06/14/2012 - Present

Apex Clearing Corp. (DALLAS TX)

TX

02/05/2010 - 08/01/2012

PENSON FINANCIAL SERVICES, INC. (DALLAS TX)

TX

07/01/2009 - 01/07/2010

SOUTHWEST SECURITIES, INC. (DALLAS TX)

TX

01/09/2007 - 06/19/2009

PENSON FINANCIAL SERVICES, INC. (DALLAS TX)

TX

02/28/2006 - 11/16/2006

FIRST SOUTHWEST COMPANY (DALLAS TX)

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Licenses & Designations

BC

Issued 04/10/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/27/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Michael Scott Wood.
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