Thu T. Ka
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.
Thu Thi Ka, who also goes by Thu Thi Ka, was a registered financial professional .
Thu is a previously registered financial professional and started their career in finance in 2002. Thu had worked at 3 firms and has passed the Series 63, SIE 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
July 6, 2015 - July 20, 2015
WEALTH DESIGN, LLC
November 11, 2010 - April 9, 2018
APW CAPITAL, INC.
September 12, 2002 - January 4, 2010
LPL FINANCIAL LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WEALTH DESIGN, LLC
CRD#: 114293 / SEC#: 801-77786
Contact information
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.
