Rory Wood

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2017-11-29
IL	RA	APPROVED	2017-11-22

TX RA
APPROVED

Since 2017-11-29
IL RA
APPROVED

Since 2017-11-22

Branch Locations

Palatine, IL • United States

100 Federal St Ci Business Controls, Boston, MA 02110 • United States

540 W Madison St Ci Client Management, Chicago, IL 60661 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Rolling Meadows	IL	09/2016	Present
J.P. Wood's Martial Arts America	Palatine	IL	04/2010	09/2016

09/2016 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Rolling Meadows, IL
04/2010 → 09/2016

J.P. Wood's Martial Arts America

Palatine, IL

Other Businesses

I*: 1653307 Entity Type: Entity For Profit Name of OBA: J.P. Wood's Martial Arts America Address: Palatine IL, 60067 Investment Related: n Position, Title, Association: Employee Employee Start Date: 12/21/2024 No Hours: 3hr/wk No Hours during trading:0 Duties: Teaching martial arts classes

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-11-21
S63	Uniform Securities Agent State Law Examination	2016-11-18

S66 Uniform Combined State Law Examination

2017-11-21
S63 Uniform Securities Agent State Law Examination

2016-11-18

Other Names

Rory D Wood

View on SEC IAPD