Kim L. 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.
Kim Ling Woo, who also goes by Kim Woo, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1997. Kim had worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2016 - August 21, 2018
LUNA CAPITAL MANAGEMENT, LLC
August 12, 2014 - February 12, 2015
EVART, YOUNG & HOBBS INVESTMENT MANAGEMENT
July 29, 1997 - August 15, 2006
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 2
Date: 10/11/1993
Non-Member General Securities ExaminationCurrent Firm
LUNA CAPITAL MANAGEMENT, LLC
CRD#: 281388 / SEC#:
Contact information
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.
