Mark WoodCRD Number: 1394676
Current Firm: Oppenheimer & Company Inc.
Mark Wood (CRD# 1394676) is an Investment Advisor Representative working at Oppenheimer & Company Inc. in Leawood, KS and has over 27 years of experience in the finance industry.
Nextgen Wealth, LLC
Freedom Wealth Advisors, LLC
Searcy Financial Services, Inc.
|Oppenheimer & Co Inc.||Leawood, KS||Apr 2015 - Current||1|
|Lpl Financial, LLC||Overland Park, KS||Oct 2014 - Apr 2015||< 1|
|Unemployed||Platte City, MO||Mar 2014 - Oct 2014||< 1|
|Stifel, Nicolaus & Company, Incorporated||Kansas City, MO||Aug 2012 - Feb 2014||1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691)||Leawood, KS||Sep 2009 - Aug 2012||2|
|Ubs Financial Services Inc.||Leawood, KS||Aug 2006 - Sep 2009||3|
|Piper Jaffray & Co||Leawood, KS||Nov 2005 - Sep 2009||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1989|
|S65||NASAA Investment Advisors Law Examination||Apr 1997|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
- Judgments / Liens
Total Assets Under Management9,080MILLIONS
Total Number of Accounts19,246ACCOUNTS
Average Account Value$471,802
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV
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