Katherine C. Woo

ANGEL LIGHT CAPITAL

Forest Hills, NY

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CRD#: 6588975

Professional summary

Katherine Ching Woo is a registered financial advisor currently at ANGEL LIGHT CAPITAL located in Forest Hills, New York.

Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Katherine has worked at 3 firms and has passed the Series 63, SIE and Series 6 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Ching 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 22, 2024 - Present

ANGEL LIGHT CAPITAL

RIA

CRD#: 332254

Forest Hills, NY

Past

April 8, 2016 - December 22, 2016

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

LONG ISLAND CITY, NY

Past

December 21, 2015 - March 30, 2016

PRUCO SECURITIES, LLC.

CRD#: 5685

FLUSHING, NY

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

New York
(7/22/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 1/22/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/22/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/21/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ANGEL LIGHT CAPITAL

ANGEL LIGHT CAPITAL | ANGEL LIGHT CAPITAL CORP.

CRD#: 332254 / SEC#: 801-130761

New York

Registered Investment Advisory firm - (7/22/2024 Approved)

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Contact information

Main Address

Forest Hills, NY

Mailing Address

103-25 68th Avenue Apt 3m, Forest Hills, NY 11375

Phone number

(917) 685-5507

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 105,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Katherine C. Woo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Ching Woo's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANGEL LIGHT CAPITAL

MSI FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/22/2016

SIE

Date: 12/22/2016

Series 6

Date: 12/21/2015

Current Firm

ANGEL LIGHT CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ANGEL LIGHT CAPITAL

TRUST BUT VERIFY

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