Kim D. Luu
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.
Kim D Luu, who also goes by Kim O Luu, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 2004. Kim 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
October 12, 2011 - December 31, 2014
HOPLON FINANCIAL GROUP
September 1, 2009 - August 22, 2011
FOOTHILL SECURITIES, INC.
August 31, 2009 - August 22, 2011
FOOTHILL SECURITIES, INC.
May 15, 2009 - September 1, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
April 3, 2009 - September 1, 2009
ASSOCIATED SECURITIES CORP.
April 3, 2009 - September 1, 2009
ASSOCIATED SECURITIES CORP.
March 11, 2008 - April 3, 2009
OSAIC SERVICES, INC.
March 11, 2008 - April 3, 2009
OSAIC SERVICES, INC.
April 20, 2004 - March 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 3, 2004 - March 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HOPLON FINANCIAL GROUP
CRD#: 155387 / SEC#:
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.
