Articles Tagged with Steve Woo

Steve Woo Public records published by the Financial Industry Regulatory Authority (FINRA) on July 21, 2017 indicate that former California-based Wedbush Securities broker/adviser Steve Woo has received a customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Woo (CRD# 5302065).

Steve Woo has spent eight years in the securities industry and was most recently with Wedbush Securities in Los Angeles, California (2016-2017). Previous registrations include JP Morgan Securities in Torrance, California (2012-2016); Chase Investment Services in Torrance, California (2010-2012); and Signator Investors in Irvine, California (2008-2009). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative ExaminationTK). He is currently not registered with any state or firm.

According to his BrokerCheck report, Steve Woo was discharged from a former employer and has received one customer complaint.