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AW

Alex S. Woo

ENGLAND SECURITIES
Houston, TX 77002
Some features on this profile are disabled
CRD#: 5699826
AW

Professional summary

Alex Shi-zhung Woo is a registered financial professional currently at ENGLAND SECURITIES, LLC located in Houston, Texas.

Alex is registered as a RR (Registered Representative) and started their career in finance in 2009. Alex has worked at 4 firms and has passed the Series 63, SIE, Series 79TO and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alex Shi-zhung Woo's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 31, 2023 - Present

ENGLAND SECURITIES, LLC

Office #1: 1000 Louisiana Street Suite 6550, Houston, TX 77002Office #2: 1000 Louisiana Street Suite 6550, Houston, TX 77002
BD
CRD#: 129932
Houston, TX
Past

July 11, 2018 - July 2, 2019

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
HOUSTON, TX
Past

February 22, 2017 - April 2, 2018

FMI CAPITAL ADVISORS, INC.

BD
CRD#: 129262
Houston, TX
Past

August 25, 2009 - May 19, 2015

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(8/16/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/15/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/31/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 7/30/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/24/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ES
ENGLAND SECURITIES, LLC
ENGLAND SECURITIES, LLC

CRD#: 129932 / SEC#: , 8-66274

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
1000 Louisiana Street Suite 6550, Houston, TX 77002
Mailing Address
1000 Louisiana Street Suite 6550, Houston, TX 77002
Phone number
(713) 357-9440
Established
District of Columbia since 11/28/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ENGLAND & COMPANY, LLCSHAREHOLDER
ENGLAND, CRAIG WILLIAMMANAGING MEMBER, PRINCIPAL, SHAREHOLDER, CHIEF COMPLIANCE OFFICER2038219
ENGLAND, CRAIG WILLIAMFINOP2038219

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.

Company Information

ENGLAND SECURITIES, LLC

CRD#: 129932Houston, TX 77002

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