AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JW

Jeffrey J. Woo

Some features on this profile are disabled
CRD#: 2610441
JW

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.

Jeffrey J Woo, who also goes by Jeffrey Woo, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1995. Jeffrey had worked at 8 firms and has passed the Series 63, Series 65 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeffrey Woo

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 18, 2011 - June 1, 2012

FINANCE 500, INC.

BD
CRD#: 12981
IRVINE, CA
Past

August 26, 2008 - October 22, 2009

WADDELL & REED

RIA
CRD#: 866
COSTA MESA, CA
Past

August 25, 2008 - October 22, 2009

WADDELL & REED

BD
CRD#: 866
COSTA MESA, CA
Past

March 17, 2006 - December 31, 2007

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
NEWPORT BEACH, CA
Past

January 7, 2004 - March 25, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
PALM DESERT, CA
Past

January 7, 2004 - March 25, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

July 31, 2001 - December 19, 2003

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
PALM DESERT, CA
Past

June 22, 2001 - January 9, 2004

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

November 11, 1999 - March 20, 2000

SMH CAPITAL INVESTMENTS LLC

BD
CRD#: 24535
FT. WORTH, TX
Past

March 2, 1998 - October 7, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 8, 1995 - February 25, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/28/2007
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/24/1995
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/7/1995
General Securities Representative Examination

Current Firm

F5
FINANCE 500, INC.
FINANCE 500 | FINANCE 500, INC.

CRD#: 12981 / SEC#: , 8-28302

BD
Terminated by SEC on 11/12/2024
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
California since 08/24/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RMB GROUP, LLCOWNER
BENNETT, BRYAN LEEPRESIDENT, COO, DIRECTOR2614924
DIGIORGIO, ANN ELIZABETHMUNI PRINCIPAL735482
DIGIORGIO, ANN ELIZABETHCCO / AML COMPLIANCE OFFICER735482
DIGIORGIO, ANN ELIZABETHCHIEF FINANCIAL OFFICER735482

Disclosures

Regulatory Event16
Arbitration5
Bond1

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.

Company Information

FINANCE 500, INC.

CRD#: 12981

TRUST BUT VERIFY

Monitor Jeffrey Woo

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics