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Roger Wood

Commonwealth Financial Network
54 Years of Experience
Peoria, AZ
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Roger Wood is a registered investment advisor at Commonwealth Financial Network, based in Peoria, AZ, with 54 years of industry experience. Roger is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 360,488 clients with $210B in assets under management.

Commonwealth Financial Network
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2904 advisors
Number of Clients
360,488 clients
Average Client Portfolio
$590K average
Assets Under Management
$212.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$600
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $750K2.25%
$750K - $1.0M2.00%
$1.0M - $2.0M1.75%
$2M+1.50%

Fees are negotiable. Schedule represents maximum allowable annual management fees for PPS Custom programs. Other programs like PPS Select and PPS Direct have separate advisor and program fee schedules.

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

Location

9200 West Union Hills Drive, Suite 102, Peoria, AZ, 85382

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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.
Customer Dispute
March 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Roger sells fixed insurance products and co-owns rental properties in Rocky Point, Mexico and Hartford, WI. He is also the 100% owner of Wood Wealth Management LLC DBA C.W.F. Financial, a private entity created to operate a securities business.

Employment History
Current Registrations
Commonwealth Financial Network
May 2011 - Present · 15 yrs 5 mos
Commonwealth Financial NetworkBroker
May 2011 - Present · 15 yrs 5 mos
Previous Registrations
Ameriprise Financial Services, INC.Broker
October 2009 - May 2011 · 1 yr 7 mos
Ameriprise Financial Services, INC.
October 2009 - May 2011 · 1 yr 7 mos
Ameriprise Advisor Services, INC.
September 2007 - October 2009 · 2 yrs 1 mo
Ameriprise Advisor Services, INC.Broker
August 2007 - October 2009 · 2 yrs 2 mos
UBS Financial Services INC.Broker
August 2006 - September 2007 · 1 yr 1 mo
UBS Financial Services INC.
August 2006 - September 2007 · 1 yr 1 mo
Piper Jaffray & CO.
October 2002 - August 2006 · 3 yrs 10 mos
Piper Jaffray & CO.Broker
October 1999 - August 2006 · 6 yrs 10 mos
Painewebber IncorporatedBroker
May 1994 - October 1999 · 5 yrs 5 mos
Prudential Securities IncorporatedBroker
September 1985 - May 1994 · 8 yrs 8 mos
E. F. Hutton & Company INCBroker
September 1982 - October 1985 · 3 yrs 1 mo
Shearson/american Express INC.Broker
November 1978 - October 1982 · 3 yrs 11 mos
Rauscher Pierce Refsnes, INC.Broker
July 1977 - May 1980 · 2 yrs 10 mos
Loewi & CO., IncorporatedBroker
September 1972 - August 1977 · 4 yrs 11 mos
State Registrations21 states
AZCACOINKYMIMNMOMTNHNJNMNVNYOHPASCTXVAWAWI
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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