Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Herbert E Wood
HEC WOOD, HERBERT WOOD
CRD#: 2934722
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 3855 ROHNERVILLE RD
FORTUNA, CA 95540
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2002 (2 years)2 FIRMS2005 - Present (19 years)BWM FUNDS DISTRIBUTOR, INC. (CRD# 43261)2002 - 2005 (3 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1997 - 2000 (2 years)
License(s)

State Registrations

B
Alaska 8/12/2022
B
Missouri 10/7/2013
B
Arizona 10/20/2005
B
Montana 4/26/2016
B
Arkansas 5/18/2017
B
Nevada 9/14/2006
B
California 8/26/2005
B
New Mexico 7/22/2019
IA
California 8/26/2005
B
North Carolina 9/12/2005
B
Colorado 10/13/2005
B
Ohio 1/27/2022
B
Florida 8/27/2024
B
Oklahoma 6/18/2015
B
Georgia 1/18/2023
B
Oregon 8/26/2005
B
Hawaii 2/21/2013
B
Pennsylvania 6/6/2022
B
Idaho 9/21/2005
B
South Carolina 5/9/2024
B
Illinois 9/7/2006
B
Texas 8/26/2005
B
Iowa 6/20/2018
IA
Texas 8/21/2014
B
Kansas 8/30/2011
B
Utah 6/23/2021
B
Massachusetts 5/23/2019
B
Washington 9/9/2005
B
Minnesota 3/21/2014
B
Wisconsin 3/4/2016

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EDWARD JONES (CRD#:250)
3855 ROHNERVILLE RD, FORTUNA, CA 95540
Registered with this firm since 8/26/2005
B
EDWARD JONES (CRD#:250)
3855 ROHNERVILLE RD, FORTUNA, CA 95540
Registered with this firm since 8/26/2005
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 07/18/2002 - 08/25/2005 WM FUNDS DISTRIBUTOR, INC. (CRD#:43261) DES MOINES, IA
IA
 10/11/2000 - 04/24/2002 PRUDENTIAL INVESTMENTS LLC (CRD#:105670) SAN DIEGO, CA
B
 03/31/2000 - 04/23/2002 PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (CRD#:18353) NEWARK, NJ
B
 09/15/1997 - 02/14/2000 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.