Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alton? Claim Your ProfileAlton Lo is a financial advisor with over 10 years of experience in the industry. Alton is currently registered with J. Wood Capital Advisors LLC, a firm based in Santa Rosa, California. Alton has also held positions at J.P. Morgan Securities LLC and J.P. Morgan Securities Inc. Alton Lo holds licenses for Series 7, 79, 63, SIE, and has successfully passed the Uniform Securities Agent State Law Examination.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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CA
05/05/2017 - Present
J. Wood Capital Advisors LLC (SANTA ROSA CA)
CA
10/01/2008 - 10/02/2014
J.P. MORGAN SECURITIES LLC (SAN FRANCISCO CA)
CA
09/18/2006 - 10/01/2008
J.P. MORGAN SECURITIES INC. (SAN FRANCISCO CA)
BC
Issued 06/22/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/18/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/2017
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 09/16/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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