Anne L. Woo
Professional summary
Anne L. Woo, who also goes by Anne Lo, is a registered financial professional currently at MMC SECURITIES LLC located in Wilbraham, Massachusetts.
Anne is registered as a RR (Registered Representative) and started their career in finance in 1998. Anne has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Anne L. Woo's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 3, 2001 - Present
MMC SECURITIES LLC
August 19, 1999 - April 6, 2000
MSI FINANCIAL SERVICES, INC.
August 19, 1999 - June 7, 2001
METROPOLITAN LIFE INSURANCE COMPANY
October 30, 1998 - May 24, 1999
HIMCO DISTRIBUTION SERVICES COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/3/2001)
Exams
FINRA
Current Firm
MMC SECURITIES LLC
CRD#: 103846 / SEC#: 801-60515, 8-52349
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARSH INSURANCE & INVESTMENTS LLC | SOLE MEMBER | |
| BLACKMORE, KIMBERLY LYNN | FINOP PRINCIPAL, CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, DIRECTOR AND TREASURER | 2219307 |
| HUM, CHI HONG | PRESIDENT, ASSISTANT SECRETARY AND DIRECTOR | 1620728 |
| KEANE, DARREN PETER | DEPUTY CCO, DIRECTOR | 6900143 |
| KUMAR, SHIV | CEO AND DIRECTOR | 3165711 |
| MA, JOHN SUNG | PRINCIPAL OPERATIONS OFFICER | 5858075 |
| WEINSTOCK, JUDITH ANN | CCO, DIRECTOR AND SECRETARY | 8096565 |
Red Flags
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