Jimmy K. Foo
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.
Jimmy K Foo, who also goes by James K Foo, James Foo, Jimmy Foo, was a registered financial professional .
Jimmy is a previously registered financial professional and started their career in finance in 2020. Jimmy had worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2021 - January 11, 2022
DCM ADVISORS, LLC
June 18, 2020 - May 19, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
February 28, 2020 - May 19, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
DCM ADVISORS, LLC
CRD#: 126248 / SEC#: 801-112041
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: 2/28/2020
General Securities Representative ExaminationCurrent Firm
DCM ADVISORS, LLC
CRD#: 126248 / SEC#: 801-112041
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58 |
| AUM (Assets Under Management) | $ 220,149,441 |
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.
