Winnie P. 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.
Winnie P Woo was a registered financial professional .
Winnie is a previously registered financial professional and started their career in finance in 1999. Winnie had worked at 3 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2015 - January 4, 2016
SINGPOLI WEALTH MANAGEMENT LLC
July 29, 2002 - March 4, 2013
SHORELINE TRADING GROUP LLC
September 10, 1999 - April 5, 2002
FURTHER LANE SECURITIES, L.P.
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
SINGPOLI WEALTH MANAGEMENT LLC
CRD#: 137889 / SEC#: , 8-67126
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SINGPOLI WEALTH MANAGEMENT CORPORATION | DIRECT OWNER | |
| SOO, YUNTING MIKE | PRINCIPAL & MANAGING DIRECTOR & CCO | 1823399 |
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.
