Ronald C. Wo
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.
Ronald Ching Wo, who also goes by Ronald C Wo, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 2002. Ronald had worked at 6 firms and has passed the Series 66, Series 31 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
May 10, 2013 - December 20, 2013
J.W. COLE FINANCIAL, INC.
October 6, 2011 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
November 18, 2009 - December 31, 2025
CKW FINANCIAL GROUP, LLC
October 10, 2008 - October 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 10, 2008 - October 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2007 - November 3, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - November 3, 2008
MORGAN STANLEY & CO. LLC
March 26, 2002 - April 2, 2007
MORGAN STANLEY DW INC.
January 21, 2002 - April 2, 2007
MORGAN STANLEY DW 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
Current Firm
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
