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Nicholas Wood Fired from Raymond James & Associates Following Alleged Misconduct

Nicholas Wood (CRD #: 6511340), a broker formerly registered with Raymond James & Associates, allegedly impersonated a client, according to his BrokerCheck record, accessed on January 12, 2023. Keep reading to learn more about his alleged conduct as a broker.

Termination from Raymond James & Associates

On December 7, 2022, Nicholas Wood was fired from Raymond James & Associates following allegations that he impersonated a client to an annuity issuer when completing forms to transfer an annuity to the firm at the client’s request.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Nicholas Wood has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

He previously worked for Raymond James & Associates (CRD#:705) and Edward Jones (CRD#:250).

Kurta Law Can Help

If you worked with Nicholas Wood and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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