Tommy H. Woo
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.
Tommy Honning Woo was a registered financial professional .
Tommy is a previously registered financial professional and started their career in finance in 1983. Tommy had worked at 14 firms and has passed the Series 66, Series 63, Series 7, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2014 - March 28, 2014
SIGNATOR INVESTORS, INC.
June 19, 2012 - January 24, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
June 19, 2012 - January 24, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
April 24, 2006 - July 30, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
April 24, 2006 - July 30, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
May 11, 2005 - January 7, 2006
SCOTTRADE, INC.
January 3, 2005 - April 29, 2005
CITIGROUP GLOBAL MARKETS INC.
January 3, 2005 - April 29, 2005
CITIGROUP GLOBAL MARKETS INC.
February 2, 2004 - March 22, 2004
IFMG SECURITIES, INC.
February 2, 2004 - March 22, 2004
IFMG SECURITIES, INC.
August 21, 2002 - December 19, 2003
HARRISDIRECT LLC
August 21, 2002 - December 19, 2003
HARRISDIRECT LLC
May 1, 2002 - August 19, 2002
CUNA BROKERAGE SERVICES, INC.
February 26, 2002 - August 19, 2002
CUNA BROKERAGE SERVICES, INC.
December 21, 2001 - February 13, 2002
IDS LIFE INSURANCE COMPANY
December 21, 2001 - February 13, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
September 13, 2000 - April 18, 2001
GLOBALINK SECURITIES, INC.
July 31, 2000 - November 3, 2000
WHITE PACIFIC SECURITIES, INC.
December 16, 1998 - July 31, 2000
ACUMENT SECURITIES, INC.
February 14, 1998 - November 13, 1998
QUICK & REILLY, INC.
March 22, 1985 - February 14, 1998
FLEET BROKERAGE SECURITIES, INC.
March 1, 1983 - March 15, 1985
CHARLES SCHWAB & CO., INC.
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 8
Date: 10/31/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SIGNATOR INVESTORS, INC.
CRD#: 468 / SEC#: 801-56298, 8-13995
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ARMSTRONG, ABIGAIL MARIE | VICE PRESIDENT, COUNSEL AND ASST SECRETARY | 1239945 |
| CAPPUCCIO, PAUL ANTHONY | ASSISTANT VICE PRESIDENT | 2151678 |
| COLLINS, BRIAN DOUGLAS | VICE PRESIDENT | 6445623 |
| DORVAL, STEVEN FRANCIS | DIRECTOR | 4163630 |
| HORACK, THOMAS JOSEPH | VP & DIRECTOR | 861315 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| KWONG-LOI, YIU | ASSISTANT SECRETARY | 6639555 |
| LANNIGAN, TRACY KANE | SECRETARY | 6944688 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT & DIRECTOR | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER & TREASURER | 4364402 |
| SCORPIO, CARON MARIE | ASSISTANT VICE PRESIDENT | 4275948 |
| SPADAFORA, CRAIG ALAN | DIRECTOR | 3184320 |
| TERRY, JOSEPH DEAN | CHIEF COMPLIANCE OFFICER & DIRECTOR | 4612910 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
| TUCKER, BRIAN THOMAS | ASSISTANT SECRETARY | 2285090 |
| VACON, MELISSA M | VICE PRESIDENT & DIRECTOR | 6189199 |
| WALTERS, GINA GOLDYCH | DIRECTOR | 5095838 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 12 |
| Bond | 1 |
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.
