Professional Experience
Securities Litigation Support, LLC • Henderson, NV 2004 –
Securities Expert Witness
Wells Fargo Private Client Services* • Salt Lake City, UT 2001 – 2004
Regional Manager / Senior Regional Sales Manager – Senior Vice President
George K. Baum & Company • Kansas City, MO 1999 – 2001
Retail Head – Executive Vice President
Prudential Securities & Insurance • Various Positions 1978 – 1999
Pilot Programs • Prudential Insurance • Ft. Worth, TX 1998 – 1999
Executive Director • Prudential Insurance Test Markets • VA & AZ 1997 – 1998
Director of Regional Training • Prudential Securities • Dallas, TX 1994 – 1997
Branch Manager • Prudential Securities • Fort Worth, TX 1982 – 1994
Stock and Commodities Broker • Prudential Securities • Bellevue, WA 1978 – 1982
Shearson, Hammill & Co. • Seattle, WA 1969 – 1978
Stock and Commodities Broker
Securities Licenses**
Greg Wood has passed the following examinations or their equivalents and has held the
following licenses or their equivalents:
- Series 3 National Commodities Futures
- Series 4 Registered Options Principal
- Series 5 Interest Rate Options Examination
- Series 7 General Securities Representative (S1 & S12)
- Series 8 General Securities Sales Supervisor (S40, S5 & S15)
- Series 15 Foreign Currency Options Examination
- Series 40 General Securities Principal (Qualifies as S24)
- Series 63 Uniform Securities Agent State Law Examination
- Series 65 Uniform Investment Advisor Examination
- State Life and Health Insurance Examination
Professional Education and Training
- Securities Industry Association • Securities Industry Institute • 1990 Graduate
- NASD Arbitrator Training • 2003
- Mediator Training, Utah Alternative Dispute Resolution • 2004 – 2005
- NASD Additional Training: Annuities II • 2004
- NASD Arbitrator Chairperson Training • 2004
- NASD Mini-Courses #1, #2, #3 • 2004
- NASD Mini-Courses #4, #5 • 2006
- NASD Additional Training: Revised Code of Arbitration • 2007
- NFA Online Arbitrator Training • 2008
- NASD Additional Training: Expungement • 2008
- FINRA Expungement Refresher • 2009
- NFA Requests for Pre-Hearing Decisions • 2015
- NFA Conducting a Virtual Hearing • 2020
Other
- FINRA & NFA Arbitrator (2003-Present)
- FINRA Mediator (2006-2013)
- Mediator • Utah Court-Annexed ADR Roster (2005-2006)
- SIFMA Compliance and Legal Division • Past Member
- Mountain Mediation Center, Park City, UT • Founding Board Member (Past)
- SIA Sales and Marketing Committee • Past Member
- Chicago Mercantile Exchange • IOM Seat • Past Member
- Selective Service System • Nevada Local Board Member
*Registration – Wells Fargo Investments, LLC
**Licenses are now inactive
Please click here to download Greg Wood’s Curriculum Vitae (87kb PDF).