Kerby 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.
Kerby Hogan Woo, CFP® was a registered financial professional .
Kerby is a previously registered financial professional and started their career in finance in 1997. Kerby had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2009
Experience
March 27, 2013 - November 16, 2022
CREATIVE PLANNING
March 30, 2011 - March 26, 2013
USAA FINANCIAL PLANNING SERVICES
March 30, 2011 - March 26, 2013
USAA FINANCIAL ADVISORS, INC.
January 5, 2010 - March 21, 2011
CONCERT WEALTH MANAGEMENT
July 28, 2009 - December 2, 2009
EMERSON EQUITY LLC
July 27, 2009 - December 2, 2009
EMERSON EQUITY LLC
May 20, 2009 - August 6, 2009
MSI FINANCIAL SERVICES, INC.
May 15, 2009 - August 6, 2009
MSI FINANCIAL SERVICES, INC.
October 4, 1999 - February 5, 2009
CHARLES SCHWAB & CO., INC.
February 3, 1999 - February 5, 2009
CHARLES SCHWAB & CO., INC.
December 3, 1997 - October 30, 1998
IDS LIFE INSURANCE COMPANY
December 3, 1997 - October 30, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CREATIVE PLANNING
CRD#: 105348 / SEC#: 801-18564
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
CREATIVE PLANNING
CRD#: 105348 / SEC#: 801-18564
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 269,686 |
| AUM (Assets Under Management) | $ 217,399,324,981 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/27/2025 | ||
| 09/19/2024 | ||
| 01/03/2024 | ||
| 01/18/2023 |
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.
