Luke T. Mokma
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.
Luke Thomas Mokma, CFP®, who also goes by Luke Mokma, was a registered financial professional .
Luke is a previously registered financial professional and started their career in finance in 2017. Luke had worked at 4 firms and has passed the Series 66, Series 7TO, SIE 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
Start date: 2019
Experience
November 9, 2022 - April 30, 2024
KOA WEALTH MANAGEMENT, LLC
October 17, 2022 - October 31, 2022
PERSONAL CAPITAL ADVISORS CORPORATION
March 26, 2020 - January 25, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 20, 2017 - January 25, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
Primary Firm SEC Registration
KOA WEALTH MANAGEMENT, LLC
CRD#: 297004 / SEC#: 801-118718
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
Series 7TO
Date: 3/13/2024
General Securities Representative ExaminationCurrent Firm
KOA WEALTH MANAGEMENT, LLC
CRD#: 297004 / SEC#: 801-118718
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 744 |
| AUM (Assets Under Management) | $ 231,100,804 |
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.
