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David Wood

Raymond James Financial Services Advisors, INC
35 Years of Experience
Colorado Springs, CO
1 DisclosureBroker
View SEC Summary
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David Wood is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Colorado Springs, CO, with 35 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6696 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

5725 Mark Dabling Blvd, Suite 140, Colorado Springs, CO, 80919

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
June 1986
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

David owns rental real estate and a farm, dedicating minimal time to each. He also works as an associate/employee for both Addison Avenue Investment Services and First Tech Federal Credit Union, spending about half his time on each.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
January 2012 - Present · 14 yrs 9 mos
Raymond James Financial Services, INC.
January 2012 - Present · 14 yrs 9 mos
Raymond James Financial Services, INC.Broker
January 2012 - Present · 14 yrs 9 mos
Previous Registrations
Addison Avenue Financial Partners, LLC
September 2010 - July 2012 · 1 yr 10 mos
Essex National Securities, INC.
August 2010 - January 2012 · 1 yr 5 mos
Essex National Securities, INC.Broker
July 2010 - January 2012 · 1 yr 6 mos
Cuso Financial Services, L.P.
November 2009 - April 2010 · 5 mos
Cuso Financial Services, L.P.Broker
May 2001 - April 2010 · 8 yrs 11 mos
Sws Financial ServicesBroker
March 2000 - May 2001 · 1 yr 2 mos
Local Securities CorporationBroker
January 1998 - March 2000 · 2 yrs 2 mos
Investment Professionals, INC.Broker
October 1997 - January 1998 · 3 mos
NationssecuritiesBroker
August 1997 - October 1997 · 2 mos
Boatmen's Investment Services, INC.Broker
June 1996 - August 1997 · 1 yr 2 mos
Invest Financial CorporationBroker
October 1995 - May 1996 · 7 mos
Washington Square Securities, INC.Broker
December 1994 - November 1995 · 11 mos
Pruco Securities CorporationBroker
May 1994 - November 1994 · 6 mos
Washington Square Securities, INC.Broker
August 1990 - May 1994 · 3 yrs 9 mos
Patterson Icenogle, INC.Broker
July 1990 - August 1990 · 1 mo
The Stuart-James Company, IncorporatedBroker
June 1990 - June 1990 · 0 mos
State Registrations38 states
AKALARAZCACOFLGAHIIAIDILLAMAMDMIMNMOMSMTNCNDNENMNVNYOHOKORPASCSDTXVAWAWIWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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