Jonathan D Woo
CFAProfessional Summary
Jonathan D Woo, CFA, who also goes by Jonathan David Woo, is a registered financial advisor currently at DEARBORN PARTNERS L.L.C. located in Chicago, Illinois and QUASAR DISTRIBUTORS, LLC located in Chicago, Illinois. Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Jonathan has worked at 3 firms and has passed the Series 66, SIE, Series 87 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jonathan David Woo
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
DEARBORN PARTNERS L.L.C.
Contact Information
Main Address
200 W Madison St Suite 1950, Chicago, IL 60606Phone Number
(312) 795-1000# of Employees
24SEC notice filing (36 States and Territories)
Registered to provide investment advisory services in 36 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,124AUM (Assets Under Management)
$2,741,716,548Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
DEARBORN PARTNERS L.L.C.
State Registrations and Notice Filings
(4/21/2022)
(3/23/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Mar 2014About the Series 87 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Jonathan D Woo's CRS (Customer Relationship Summary).
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