Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leonard? Claim Your ProfileLeonard Woo has been in the financial industry since 1989 and is currently registered with HSBC Securities (USA) Inc. Leonard has a diverse background in financial services with previous experience at ING Financial Markets LLC and SG Cowen Securities Corporation. Leonard possesses a wide range of licenses including Series 7, 8, 14, 24, 27, 63, 79TO and SIE. Leonard is a licensed securities professional in New Jersey and New York and holds several designations.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
11/08/2016 - Present
Hsbc Securities (usa) Inc. (NEW YORK CITY NY)
NY
08/12/2004 - 11/11/2014
ING FINANCIAL MARKETS LLC (NEW YORK NY)
NY
03/09/2001 - 01/13/2004
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NA
10/25/1989 - 05/29/1991
L. F. ROTHSCHILD & CO. INCORPORATED
BC
Issued 05/22/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 07/18/1990
Series 24 - General Securities Principal Examination
BC
Issued 07/03/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 06/04/1990
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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