Jong Y. Woo

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CRD#: 4219159

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.

Jong Yoon Woo, who also goes by Jong Y Woo, was a registered financial professional .

Jong is a previously registered financial professional and started their career in finance in 2003. Jong had worked at 3 firms and has passed the Series 63, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jong Y Woo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 6, 2013 - December 9, 2013

INDEPENDENT BROKERAGE SOLUTIONS LLC

CRD#: 153563

NEW YORK, NY

Past

January 25, 2012 - June 6, 2013

D/B/A ATWOOD CAPITAL PARTNERS

CRD#: 145905

NEW YORK, NY

Past

October 2, 2003 - November 1, 2005

ACA SECURITIES, L.L.C.

CRD#: 113614

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 10/20/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79

Date: 3/19/2012

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 1/24/2012

General Securities Representative Examination

Current Firm

INDEPENDENT BROKERAGE SOLUTIONS LLC

INDEPENDENT BROKERAGE SOLUTIONS LLC | SDDCO BROKERAGE ADVISORS LLC

CRD#: 153563 / SEC#: , 8-68549

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

485 Madison Avenue 15th Floor, New York, NY 10022

Mailing Address

485 Madison Avenue 15th Floor, New York, NY 10022

Phone number

(212) 751-4424

Established

New York since 12/21/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DFP PARTNERS CPA, P.C.	MEMBER
FORTINO, ANGELINA	FINOP/ PFO/CFO	6869135
STEINBERG, MICHAEL NMN	CEO/CCO	1062776

Disclosures

Regulatory Event

Red Flags

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