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RIA / WealthAdvisorCertified Financial Planner22 years in industry

ERIN KAY WOOD

Advisor at ASSETMARK, INC.

Charlotte, NC | CONCORD, CA

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Search this name across graphsid dfx:ria:1be6bbee-c2b6-9a06-a5a3-6b06d4d0b5a5

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Nov 11, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ASSETMARK, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 10, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Nov 10, 2003
First registration: Nov 11, 2003
Dual registered: no
Other names: ERIN KAY MOWERY|ERIN KAY MOWERY|ERIN KAY BROWN|ERIN KAY BROWN
IAPD individual key: 4701048

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ASSETMARK, INC.	Bd affiliated wealth	Aug 14, 2025	n/a	yes	Charlotte, NC\|CONCORD, CA	Current employment
CWM, LLC	Bd affiliated wealth	Aug 23, 2018	Nov 22, 2024	no	Omaha, NE\|OMAHA, NE	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jun 18, 2015	Jun 7, 2018	no	OMAHA, NE	Previous registration
FIRST NATIONAL CAPITAL MARKETS, INC.	Former SEC adviser	Jun 19, 2012	Jun 18, 2015	no	OMAHA, NE	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jul 30, 2010	May 31, 2012	no	OMAHA, NE	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jul 30, 2010	May 31, 2012	no	Omaha, NE	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 11, 2003	Jul 9, 2010	no	Brookfield, WI\|BROOKFIELD, WI\|Brookfield, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CWM, LLC	ASSETMARK, INC.	Nov 22, 2024	Aug 14, 2025	265	Firm change	Ibd to ibd
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	CWM, LLC	Jun 7, 2018	Aug 23, 2018	77	Firm change	Ibd to RIA
FIRST NATIONAL CAPITAL MARKETS, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jun 18, 2015	Jun 18, 2015	0	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	May 31, 2012	Jul 30, 2010	-671	Firm change after gap	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	May 31, 2012	Jul 30, 2010	-671	Channel change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	TD AMERITRADE, INC.	Jul 9, 2010	Jul 30, 2010	21	Firm change	Ibd to new firm

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
115920:149018:NE:2015-06-18	Jun 18, 2015	Jun 18, 2015	OMAHA, NE	Firm change

Relationships

Registered with (7)

→ ASSETMARK, INC.Registered adviserregistration: current employment
Aug 14, 2025 to presentfactForm ADV
→ CWM, LLCRegistered adviserregistration: previous registration
Aug 23, 2018 to Nov 22, 2024factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jun 18, 2015 to Jun 7, 2018factForm ADV
→ FIRST NATIONAL CAPITAL MARKETS, INC.Registered adviserregistration: previous registration
Jun 19, 2012 to Jun 18, 2015factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 30, 2010 to May 31, 2012factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jul 30, 2010 to May 31, 2012factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 11, 2003 to Jul 9, 2010factForm ADV

Dated events

Occurred
Nov 22, 2024
Advisor changed firm
Erin Kay Wood left Cwm, Llc for Assetmark, Inc. (registered 2025-08-14)
Form ADVobserved 5 days ago