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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

BRIAN MICHAEL WOODS

Advisor at LPL FINANCIAL LLC

HENDERSON, NV

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Search this name across graphsid dfx:ria:7128289f-cead-0407-2098-ad38d0983a73

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 1, 2001 to Sep 14, 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: LPL FINANCIAL LLC
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: Oct 1, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Jul 8, 1993
First registration: Jan 1, 2001
Dual registered: yes, broker-dealer
Other names: BRIAN M WOODS
IAPD individual key: 2353283

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
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 30, 2021	n/a	yes	HENDERSON, NV	Current employment
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Nov 9, 2015	May 4, 2021	no	Windsor, CT\|DANVERS, MA\|Windsor, CT\|WINDSOR, CT	Previous registration
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC	Former SEC adviser	Feb 24, 2014	Nov 4, 2015	no	DANVERS, MA	Previous registration
INVESTORS CAPITAL ADVISORY	Former SEC adviser	Jun 16, 2005	Nov 30, 2015	no	WENHAM, MA\|BARRINGTON, NH\|DANVERS, MA\|WESTBOROUGH, MA\|EAST GREENWICH, RI\|LYNNFIELD, MA\|LYNNFIELD, MA	Previous registration
EASTERN POINT ADVISORS INC.	n/a	Jan 1, 2001	Jun 16, 2005	no	WENHAM, MA	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
VOYA FINANCIAL ADVISORS, INC.	LPL FINANCIAL LLC	May 4, 2021	Apr 30, 2021	-4	Bulk transfer	Ibd to ibd
INVESTORS CAPITAL ADVISORY	THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC	Nov 30, 2015	Feb 24, 2014	-644	Firm change after gap	Other
THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLC	VOYA FINANCIAL ADVISORS, INC.	Nov 4, 2015	Nov 9, 2015	5	Firm change	Other
EASTERN POINT ADVISORS INC.	INVESTORS CAPITAL ADVISORY	Jun 16, 2005	Jun 16, 2005	0	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 30, 2021 to presentfactForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Nov 9, 2015 to May 4, 2021factForm ADV
→ INVESTORS CAPITAL ADVISORYRegistered adviserregistration: previous registration
Jun 16, 2005 to Nov 30, 2015factForm ADV
→ THE CAPITAL ADVISORY GROUP ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Feb 24, 2014 to Nov 4, 2015factForm ADV
→ EASTERN POINT ADVISORS INC.Registered adviserregistration: previous registration
Jan 1, 2001 to Jun 16, 2005factForm ADV

Dated events

No dated event names this entity yet.