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DK

David Koo

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CRD#: 5810253
DK

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.

David Koo was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2011. David had worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.

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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.

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 7, 2017 - March 1, 2018

OPUS FINANCIAL PARTNERS, LLC

BD
CRD#: 172146
Irvine, CA
Past

December 14, 2015 - November 10, 2016

BREAN CAPITAL, LLC

BD
CRD#: 23723
LOS ANGELES, CA
Past

April 14, 2015 - September 26, 2015

SGMA CAPITAL MARKETS LIMITED

BD
CRD#: 135327
SANTA MONICA, CA
Past

August 16, 2011 - May 27, 2014

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/13/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/15/2011
Investment Banking Registered Representative Examination

Current Firm

OF
OPUS FINANCIAL PARTNERS, LLC
OPUS FINANCIAL PARTNERS, LLC

CRD#: 172146 / SEC#: , 8-69501

BD
Terminated by SEC on 06/29/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/13/2014
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OPUS BANKPARENT
GLOVIER, CURTIS ALBACEO2270225
KALK, YULIACHIEF COMPLIANCE OFFICER2612028
ROBERTS, CHRISTOPHER DEEFINOP / PFO / POO6505465

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

OPUS FINANCIAL PARTNERS, LLC

CRD#: 172146

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