Elaine Y. 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.
Elaine Yee Ling Woo was a registered financial professional .
Elaine is a previously registered financial professional and started their career in finance in 2002. Elaine had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, 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
April 8, 2020 - October 19, 2021
EVERLAKE DISTRIBUTORS, LLC
October 12, 2018 - April 9, 2020
ALLSTATE FINANCIAL SERVICES, LLC
September 19, 2006 - March 28, 2017
FARMERS FINANCIAL SOLUTIONS, LLC
July 21, 2004 - November 4, 2005
SIGNATOR FINANCIAL SERVICES, INC.
July 8, 2004 - November 4, 2005
SIGNATOR FINANCIAL SERVICES, INC.
February 14, 2003 - November 12, 2003
UBS FINANCIAL SERVICES INC.
January 21, 2003 - November 12, 2003
UBS FINANCIAL SERVICES INC.
September 5, 2002 - November 14, 2002
IDS LIFE INSURANCE COMPANY
September 5, 2002 - November 14, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
January 29, 2002 - July 5, 2002
CITIGROUP GLOBAL MARKETS INC.
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
Series 7TO
Date: 6/15/2024
General Securities Representative ExaminationCurrent Firm
EVERLAKE DISTRIBUTORS, LLC
CRD#: 100460 / SEC#: , 8-52029
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVERLAKE LIFE INSURANCE COMPANY | PARENT OF BROKER/DEALER | |
| FONTANA, ANGELA KAY | MANAGER | 6503740 |
| HARRIGAN, JULIE ANN | TREASURER, CONTROLLER AND FINOP | 7159150 |
| JENESKE, PATRICK JOSEPH | CHIEF COMPLIANCE OFFICER | 4293015 |
| KENNEDY, REBECCA DIANE | PRESIDENT AND MANAGER | 7364296 |
| KIRCHHOFF, THERESE MARIE | AML OFFICER | 4548686 |
| LARGEY, TYLER EARL BAXTER | CHAIRMAN OF THE BOARD AND MANAGER | 7470407 |
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.
