James Joshua Wood

CFP

Caitlin John, LLC

23 Years of Experience

2 Disclosures

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningFinancial Planning & CoachingHigh Net Worth

Caitlin John, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

20 advisors

Number of Clients

733 clients

Average Client Portfolio

$250K average

Assets Under Management

$183.4M

Fee Structure

Minimum Investment:$250K

Location

9500 Ray White Road, Ste 200, Fort Worth, TX, 76244

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History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Employment Separation After Allegations

December 2023

Civil

September 2012

Final

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Caitlin John, LLC

March 2025 - Present · 11 mos

Previous Registrations

Charles Schwab & CO., INC.

January 2022 - January 2024 · 2 yrs

Charles Schwab & CO., INC.Broker

January 2022 - January 2024 · 2 yrs

TD Ameritrade, INC.Broker

January 2014 - January 2024 · 10 yrs

TD Ameritrade Investment Management, LLC

December 2013 - September 2023 · 9 yrs 9 mos

TD Ameritrade, INC.

December 2013 - October 2022 · 8 yrs 10 mos

Ing Financial Partners, INC

October 2008 - October 2012 · 4 yrs

Ing Financial Partners, INC.Broker

October 2008 - October 2012 · 4 yrs

LPL Financial CorporationBroker

March 2004 - September 2008 · 4 yrs 6 mos

LPL Financial Corporation

March 2004 - September 2008 · 4 yrs 6 mos

A. G. Edwards & Sons, INC.

January 2003 - March 2004 · 1 yr 2 mos

A. G. Edwards & Sons, INC.Broker

November 2002 - March 2004 · 1 yr 4 mos

Morgan Stanley

September 2002 - November 2002 · 2 mos

Morgan Stanley Dw INC.Broker

September 1999 - November 2002 · 3 yrs 2 mos

Sunset Financial Services, INC.Broker

July 1999 - September 1999 · 2 mos

State Registrations1 state

Advisor

Exams

No exam information available for this advisor.