Unclaimed
Michael Sean Woods is a financial advisor with over 20 years of experience in the industry. Michael Woods is currently registered with World Investment Advisors, LLC and has been with the firm since 2015. Prior to that, Michael Woods worked at several firms including LPL Financial, CAPFINANCIAL SECURITIES, LLC and ING Financial Advisors, LLC. Michael Woods is a Series 6, 7, 24, 63, 66, 99TO, and SIE licensed professional and has experience in various financial areas including portfolio management, financial planning, pension consulting, and selection of other advisors.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
CA
05/21/2015 - Present
World Investment Advisors, LLC (SANTA BARBARA CA)
CA
06/19/2015 - 09/05/2017
CAPFINANCIAL SECURITIES, LLC. (Santa Barbara CA)
CA
11/30/2010 - 05/21/2015
LPL FINANCIAL LLC (SANTA BARBARA CA)
CA
01/20/2009 - 11/30/2010
NRP FINANCIAL, INC. (SANTA BARBARA CA)
CA
12/08/2006 - 01/26/2009
ING FINANCIAL ADVISERS, LLC (GLENDALE CA)
OH
10/02/2006 - 12/07/2006
OBERLIN FINANCIAL CORP. (BRYAN OH)
MA
07/16/2003 - 09/14/2005
PIONEER FUNDS DISTRIBUTOR, INC. (BOSTON MA)
MA
06/13/2003 - 07/15/2003
MANULIFE FINANCIAL SECURITIES LLC (BOSTON MA)
MA
01/01/2002 - 01/16/2002
PIONEER FUNDS DISTRIBUTOR, INC. (BOSTON MA)
MA
07/13/1999 - 11/16/2000
ALLMERICA INVESTMENTS, INC. (WORCESTER MA)
MA
11/20/1998 - 05/26/1999
PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)
NY
03/23/1994 - 05/19/1994
NYLIFE SECURITIES INC. (NEW YORK NY)
BOTH
Issued 03/03/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/08/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 02/10/2016
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/2004
Series 7 - General Securities Representative Examination
BC
Issued 11/13/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Michael Woods is the right advisor for you? Invested Better is here to help.