David Wood
David Wood is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Santa Rosa, CA, with 32 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
3558 Round Barn Blvd Ste 200, Santa Rosa, CA, 95403
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Regulatory History (1)
Customer Dispute
February 2021Other Business ActivitiesSells Insurance
David is involved in several business activities, including Marys Folly LLC, Valley Mini Storage, Wood VMS Family Limited Partnership, and DK Felton Management LLC, primarily for tax/investment purposes or real estate rental, taking minimal time. He also works with Wood Wealth Management, including non-variable insurance, and as a DBA for LPL business, dedicating about a quarter of his time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Osaic Fa, INC.Broker
Osaic Fa, INC.
MML Investors Services, INC.
MML Investors Services, INC.Broker
Robert W. Baird & CO. IncorporatedBroker
Next Advisors SecuritiesBroker
Northwestern Mutual Investment Services, LLCBroker
Robert W. Baird & CO. IncorporatedBroker
Ba Investment Services, INC.Broker
Guardian Investor Services CorporationBroker
Walnut Street Securities, INC.Broker
State Registrations11 states
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.