Yunting M. Soo
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.
Yunting Mike Soo, who also goes by Mike Soo, Yunting Soo, was a registered financial professional .
Yunting is a previously registered financial professional and started their career in finance in 1988. Yunting had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2019 - July 25, 2023
SINGPOLI WEALTH MANAGEMENT LLC
July 19, 2013 - April 27, 2017
SINGPOLI WEALTH MANAGEMENT LLC
November 9, 2011 - September 13, 2013
GLOBALINK SECURITIES, INC.
June 4, 1998 - February 26, 2010
GLOBALINK SECURITIES, INC.
April 19, 1996 - June 4, 1998
THE HERITAGE GROUP, INC.
December 18, 1989 - May 14, 1996
FM PACIFIC CAPITAL MANAGEMENT, INC.
October 19, 1988 - December 14, 1989
QUEST CAPITAL STRATEGIES, INC.
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
SINGPOLI WEALTH MANAGEMENT LLC
CRD#: 137889 / SEC#: , 8-67126
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SINGPOLI WEALTH MANAGEMENT CORPORATION | DIRECT OWNER | |
| SOO, YUNTING MIKE | PRINCIPAL & MANAGING DIRECTOR & CCO | 1823399 |
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.
