Richard Soohoo
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.
Richard Soohoo was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1999. Richard had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2016 - October 2, 2017
KESTRA ADVISORY SERVICES, LLC
August 12, 2014 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
April 1, 2014 - October 2, 2017
KESTRA INVESTMENT SERVICES, LLC
August 16, 2012 - December 31, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 29, 2007 - December 22, 2010
AVANTAX INVESTMENT SERVICES, INC.
January 27, 1999 - February 28, 2001
AVANTAX INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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