Jenny Loo
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.
Jenny Loo was a registered financial professional .
Jenny is a previously registered financial professional and started their career in finance in 1994. Jenny had worked at 8 firms and has passed the Series 63, Series 7, Series 4 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
October 28, 1999 - April 16, 2001
ICAPITAL MARKETS LLC
November 25, 1997 - November 1, 1999
SUNPOINT SECURITIES, INC.
January 7, 1997 - December 1, 1997
MERIT CAPITAL ASSOCIATES, INC.
February 22, 1996 - December 20, 1996
ROUND HILL SECURITIES, INC.
December 14, 1995 - February 8, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 17, 1994 - November 29, 1995
INVESTORS ASSOCIATES, INC.
February 11, 1994 - May 14, 1994
J. GREGORY & COMPANY, INC.
January 4, 1994 - March 1, 1994
CHATFIELD DEAN & CO., 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
ICAPITAL MARKETS LLC
CRD#: 5209 / SEC#: , 8-23769
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DATEK ONLINE HOLDINGS CORP. | PARENT CORP. | |
| BRENNAN, MICHAEL RAYMOND | CROP,SVP,SROP | 1305900 |
| DUHOVIC, JERRY VICTOR | SVP/COMPLIANCE OFFICER | 2123754 |
| HALVORSON, KURT DAVID | MANAGER | 1764312 |
| LANGNER, CAROLINE FRANCES | COMPLIANCE OFFICER | 3073124 |
| MACDONALD, JOHN RANALD | MANAGER, FINOP, CFO | 2540475 |
| MOGLIA, JOSEPH HUGH | MANAGER | 1302369 |
| RICKETTS, JOHN PETER | SVP, SECRETARY | 2446207 |
| YATES, WILLIAM THOMAS | PRESIDENT | 2749545 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 10 |
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.
