Edwin T. 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.
Edwin Ta Woo, who also goes by Eddie Woo, Edwin T Woo, was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 1998. Edwin had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2016 - February 20, 2020
INVESTOR FAN
December 16, 1998 - January 5, 2015
APPROPRIATE BALANCE FINANCIAL SERVICES INC
September 9, 1998 - March 19, 2001
PACIFIC WEST SECURITIES, INC.
Primary Firm SEC Registration
INVESTOR FAN
CRD#: 159301 / SEC#: 801-111660
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
INVESTOR FAN
CRD#: 159301 / SEC#: 801-111660
Contact information
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,515 |
| AUM (Assets Under Management) | $ 427,729,824 |
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.
