Loan T. Vo
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.
Loan Thanh Vo, who also goes by Loan Thi Thanh Vo, was a registered financial professional .
Loan is a previously registered financial professional and started their career in finance in 2006. Loan had worked at 7 firms and has passed the Series 66, SIE, Series 79, 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
April 18, 2014 - April 16, 2018
COLORADO FINANCIAL SERVICE CORPORATION
May 25, 2011 - January 7, 2014
W.G. NIELSEN & CO.
February 19, 2010 - May 25, 2011
LJS CAPITAL, LLC
December 14, 2009 - March 2, 2010
MML INVESTORS SERVICES, LLC
December 14, 2009 - March 2, 2010
MML INVESTORS SERVICES, LLC
June 1, 2009 - November 18, 2009
MORGAN STANLEY
June 1, 2009 - November 18, 2009
MORGAN STANLEY
June 3, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 3, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 20, 2006 - February 26, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 2006 - February 26, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
COLORADO FINANCIAL SERVICE CORPORATION
CRD#: 104343 / SEC#: 801-76716, 8-52817
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLORADO NATIONAL CORPORATION | OWNER | |
| FELDMAN, KEITH MITCHELL | MUNICIPAL SECURITIES PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | OPTIONS PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS | 1308772 |
| HEBERT, CHESTER JOSEPH | FINOP | 1678446 |
| HEBERT, CHESTER JOSEPH | CHIEF COMPLIANCE OFFICER | 1678446 |
| HEBERT, CHESTER JOSEPH | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT | 1678446 |
| THON, JAMESON OBRIEN | GENERAL SECURITIES PRINCIPAL, PRESIDENT | 7015002 |
| WOODWORTH, ADAM JAMES | COMPLIANCE OFFICER | 6952982 |
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 68,471,136 |
Disclosures
| Regulatory Event | 3 |
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.
