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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

James Edward Wood

Advisor at ADVICE AND PLANNING SERVICES

Pittsburgh, PA

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Search this name across graphsid dfx:ria:7d30ea0f-dcc5-0357-beb7-177b135220b3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 2, 2014 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: ADVICE AND PLANNING SERVICES
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 1, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 2, 2014
First registration: Jul 2, 2014
Dual registered: yes, broker-dealer
Other names: JAMES E WOOD
IAPD individual key: 6321667

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
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Dec 14, 2017	n/a	yes	Pittsburgh, PA\|Pittsburgh, PA	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Aug 3, 2016	Nov 24, 2017	no	Pittsburgh, PA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Aug 3, 2016	Nov 24, 2017	no	Pittsburgh, PA	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jul 2, 2014	Jun 22, 2015	no	PITTSBURGH, PA	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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Nov 24, 2017	Aug 3, 2016	-478	Channel change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Nov 24, 2017	Aug 3, 2016	-478	Firm change after gap	Other
PNC WEALTH MANAGEMENT	TD AMERITRADE, INC.	Jun 22, 2015	Aug 3, 2016	408	Firm change after gap	Other

Relationships

Registered with (4)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
Dec 14, 2017 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 3, 2016 to Nov 24, 2017factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Aug 3, 2016 to Nov 24, 2017factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jul 2, 2014 to Jun 22, 2015factForm ADV

Dated events

No dated event names this entity yet.