James Sherer Wood

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2007 → 05/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Oklahoma City, OK
• 12/2009 → 05/2024
  Bank Of America, N.A.
  Oklahoma City, OK
• 05/2024 → Present
  Lpl Financial Llc
  Oklahoma City, OK

Previous Registrations

• 2007-04-05 → 2024-05-20
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Oklahoma City, OK
  Oklahoma City, OK
• 2007-04-02 → 2007-04-12
  Morgan Stanley & Co. Llc
  Oklahoma City, OK
• 1999-01-01 → 2007-04-02
  Morgan Stanley Dw Inc.
  Oklahoma City, OK
  Oklahoma Cty, OK

Other Businesses

1- 11/05/2024- Arcadia Structured Settlements- Other-Referral Relationship- Investment Related - At Reported Business Location(s) - Start Date 09/01/2024 - 10 Hours Per Month/ 0 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-10-02
• S63 Uniform Securities Agent State Law Examination
  1998-09-14