Glenn F. 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.
Glenn Frank Woo was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1969. Glenn had worked at 5 firms and has passed the Series 55, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 1996 - April 3, 2002
DEUTSCHE IXE, LLC
August 16, 1988 - March 4, 1996
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 19, 1983 - May 24, 1988
TROSTER SINGER CORPORATION
June 3, 1971 - April 24, 1972
WILLIAM F KOERNIG INC
January 21, 1969 - November 9, 1979
AMSWISS INTERNATIONAL CORP.
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 55
Date: 2/5/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 9/18/1967
Registered Representative ExaminationSeries 00
Date: 1/3/1969
General Securities Principal ExaminationCurrent Firm
DEUTSCHE IXE, LLC
CRD#: 7172 / SEC#: , 8-13967
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IXE SECURITIES, INC. | MEMBER | |
| NDB CAPITAL MARKETS CORPORATION | MEMBER | |
| DE SAN, PATRICK | CHIEF COMPLIANCE OFFICER | 2371051 |
| DE SAN, PATRICK | CHIEF FINANCIAL OFFICER/FINOP | 2371051 |
| DERHALLI, KERIM RICHARD | MANAGER | 2187407 |
| HOPE, RUPERT DICKIE | MANAGER | 2598323 |
| HORCASITAS, JAVIER MOLINAR | MANAGER | 4678281 |
| NARANJO, MAURICIO | MANAGER | 5070130 |
| PONS, JOSE IGNACIO DE ABIEGA | MANAGER | 4678290 |
| SANCHEZ-MEJORADA, ENRIQUE CASTILLO | MANAGER | 4678285 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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