Gwendoline H. Woo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gwendoline Helena Woo, who also goes by Gwen Woo, Gwendolin Helena Woo, Gwen Woo Woochew, Gwendoline Helena Woochew, Gwendoline Woodchew, was a registered financial professional .
Gwendoline is a previously registered financial professional and started their career in finance in 1988. Gwendoline had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2012 - December 31, 2019
B.B. GRAHAM & COMPANY, INC.
March 24, 2010 - March 9, 2012
WHITE PACIFIC SECURITIES, INC.
April 24, 2009 - August 6, 2009
WBB SECURITIES, LLC
April 22, 2009 - August 6, 2009
WBB SECURITIES, LLC
June 8, 1998 - December 31, 2008
WESTERN INTERNATIONAL SECURITIES, INC.
March 1, 1995 - May 20, 1998
TRANSGLOBAL INVESTMENTS INC.
May 14, 1991 - March 1, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 1989 - May 28, 1991
LEHMAN BROTHERS INC.
February 23, 1989 - May 23, 1989
TERRALYNN WALTERS ASSOCIATES
February 24, 1988 - December 6, 1988
CETERA WEALTH SERVICES, LLC
Primary Firm SEC Registration
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
Contact information
SEC notice filing (45 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRAHAM, BRUCE EDWIN | PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 2563258 |
| BETTFREUND, JOHN WAYNE JR | CHIEF COMPLIANCE OFFICER | 1448436 |
| CALLEN, DOUGLAS BRAD | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 2133945 |
| GODINEZ, MARIE ELIZABETH | CHIEF OPERATIONS OFFICER | 3020086 |
Regulatory assets under management
| Total Number of Accounts | 303 |
| AUM (Assets Under Management) | $ 196,073,458 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 4 |
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.
