HW
Harry Woo
BREA, CA
CRD#: 5971640
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HW
Harry Woo
Professional summary
Harry Woo was a registered financial advisor .
Harry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Harry had worked at 2 firms and has passed the Series 65, Series 63, Series 79 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
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®
NoneExperience
Current
June 2, 2026 - Present
BREA, CA
Past
September 19, 2011 - April 9, 2013
HOULIHAN LOKEY CAPITAL, INC.
BD
CRD#: 17708
LOS ANGELES, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(6/2/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current firm
No current employment
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
