DID KERBY HOGAN WOO CAUSE YOU INVESTMENT LOSSES?
About Kerby Woo of Creative Planning?
Kerby Woo (CRD #2941093) has extensive experience in the financial services industry, having worked at reputable firms such as Creative Planning, USAA Financial Planning Services, and Charles Schwab & Co., Inc. Over his career, Woo has held roles as an investment adviser representative and financial planner, specializing in mutual funds and client financial strategies.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Kerby Woo Customer Complaints and Reviews
Kerby Woo has one reported customer dispute on his record.
- Details:
- Date: Complaint received on April 14, 2008
- Allegations: The customer claimed that mutual fund recommendations made in May 2007 were unsuitable for their financial situation. Alleged damages totaled $38,745.51.
- Outcome: The complaint was denied on May 14, 2008, and no financial settlement or other actions were taken against Woo or the employing firm, Charles Schwab & Co., Inc.
Allegations Against Kerby Woo
The client alleged that investments recommended in May 2007 were not appropriate for their financial objectives.
The matter was reviewed and subsequently denied without any financial settlement or findings of wrongdoing.
While the claim did not result in disciplinary action, it emphasizes the significance of clear communication and diligent adherence to client investment guidelines.
Kerby Woo Employment History
- Employment:
- Creative Planning (2013–2022)
- USAA Financial Planning Services (2011–2013)
- Concert Wealth Management, Inc. (2010–2011)
- Charles Schwab & Co., Inc. (1999–2009)
- Exams Passed:
- Multi-State Securities Law Exam: Series 65
- Designations: Certified Financial Planner (CFP).
- Employment History Highlights:
- Over a decade of experience in investment advisory roles across several major firms.
- Specialized in financial planning, mutual funds, and client strategy development.
- Registrations: Woo is not currently registered as an investment adviser representative or broker.
Investment Advisors Owe Clients The Highest Level Of Care
Investment advisors are bound by fiduciary duties to act in the best interests of their clients. This entails full transparency regarding fees, potential conflicts of interest, and the risks associated with recommended investments. Advisors must tailor strategies to align with clients’ financial goals and risk tolerances. Upholding fiduciary standards not only ensures compliance with regulatory expectations but also fosters trust and long-term relationships with clients.
Option Trading Can Be Extremely Risky
Investment advisors are bound by fiduciary duties to act in the best interests of their clients. This entails full transparency regarding fees, potential conflicts of interest, and the risks associated with recommended investments. Advisors must tailor strategies to align with clients’ financial goals and risk tolerances. Upholding fiduciary standards not only ensures compliance with regulatory expectations but also fosters trust and long-term relationships with clients.
Kerby Woo Red Flags & Your Rights As An Investor
Of course, Kerby Woo did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Kerby Woo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Creative Planning Due To Kerby Woo
If you have questions about about Creative Planning and/or Kerby Woo and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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