Don K. Kuo
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.
Don Kuanglun Kuo, who also goes by Kuanglun Kuo, was a registered financial professional .
Don is a previously registered financial professional and started their career in finance in 1999. Don had worked at 4 firms and has passed the Series 65, 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
November 12, 2012 - June 20, 2024
WCM INVESTMENT MANAGEMENT
February 11, 2000 - January 9, 2004
VP DISTRIBUTORS LLC
September 2, 1999 - November 16, 1999
IDS LIFE INSURANCE COMPANY
September 2, 1999 - November 16, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
WCM INVESTMENT MANAGEMENT
CRD#: 104702 / SEC#: 801-11916
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
WCM INVESTMENT MANAGEMENT
CRD#: 104702 / SEC#: 801-11916
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,438 |
| AUM (Assets Under Management) | $ 74,688,235,740 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2025 | ||
| 01/16/2025 | ||
| 06/20/2023 | ||
| 10/25/2022 |
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.
