Carl E. Choy

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CRD#: 1049918

Professional summary

Carl Edward Choy, CIMA® was a registered financial advisor .

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Carl had worked at 6 firms and has passed the Series 65, Series 63, Series 5, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

YMCA- METRO BOARD INVESTMENT CHAIR, 4 HR/MONTH. / CKW FINANCIAL- RIA AFFILIATE WITH COMMISSIONS PAID THROUGH CKW FINANCIAL GROUP, LLC, 200 HR/MONTH.

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Past

May 10, 2013 - December 20, 2013

J.W. COLE FINANCIAL, INC.

CRD#: 124583

HONOLULU, HI

Past

October 6, 2011 - May 10, 2013

FINANCIAL ADVISERS OF AMERICA, LLC

CRD#: 142170

HONOLULU, HI

Past

December 4, 2009 - December 31, 2025

CKW FINANCIAL GROUP, LLC

RIA

CRD#: 152116

HONOLULU, HI

Past

October 10, 2008 - October 8, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HONOLULU, HI

Past

October 10, 2008 - October 8, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HONOLULU, HI

Past

April 2, 2007 - October 23, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

HONOLULU, HI

Past

April 2, 2007 - October 23, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

HONOLULU, HI

Past

January 2, 1992 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

HONOLULU, HI

Past

July 15, 1982 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

HONOLULU, HI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(5/8/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/4/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 12/11/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 6/19/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 11/3/1990

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

J.W. COLE FINANCIAL, INC.

CRD#: 124583 / SEC#: , 8-65698

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

4301 Anchor Plaza Parkway 4th Floor, Tampa, FL 33634

Phone number

(813) 935-6776

Established

Florida since 10/14/2002

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JWC WEALTH PARTNERS	OWNER
FUSSA OCASIO, FERNANDO	CFO/FINOP	2471569
LOFGREN, KURT WALKER	CHIEF COMPLIANCE OFFICER	3048472
PACK, TODD JAMES	CHIEF OPERATING OFFICER	2795590
WEST, EUGENE	DESIGNATED MUNICIPAL PRINCIPAL/ROSFP	2059974
WOOD, ROBERT JULIAN	TREASURER/SECRETARY/GP/CEO	3217809

Disclosures

Regulatory Event	1
Arbitration	1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Carl E. Choy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

Certified licenses

Experience

FINANCIAL ADVISERS OF AMERICA, LLC

CKW FINANCIAL GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/4/1992

Series 63

Date: 7/15/1982

Series 5

Date: 12/11/1982

Series 7

Date: 6/19/1982

Series 8

Date: 11/3/1990

Current Firm

J.W. COLE FINANCIAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

J.W. COLE FINANCIAL, INC.

TRUST BUT VERIFY

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