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TW

Thomas Wu

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CRD#: 1007080
TW

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.

Thomas Wu, who also goes by Thomas Chung Tat Wu, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Chung Tat Wu

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 24, 2009 - December 31, 2013

J.K. FINANCIAL SERVICES, INC.

BD
CRD#: 103728
NORCO, CA
Past

September 1, 2005 - November 30, 2007

WOODBURY FINANCIAL SERVICES, INC.

RIA
CRD#: 421
ROSEMEAD, CA
Past

September 1, 2005 - November 30, 2007

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
ROSEMEAD, CA
Past

March 10, 2004 - July 25, 2005

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

April 5, 2001 - April 12, 2002

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

July 28, 1998 - April 9, 2001

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

October 24, 1997 - July 21, 1998

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

April 9, 1992 - October 24, 1997

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

November 15, 1981 - January 2, 1992

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

November 15, 1981 - January 2, 1992

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/1/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/1/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/12/1981
Investment Company Products/Variable Contracts Representative Examination

Current Firm

JF
J.K. FINANCIAL SERVICES, INC.
HUA KANG SECURITIES, INC. | J.K. FINANCIAL SERVICES, INC. | J K FINANCIAL SERVICES, INC

CRD#: 103728 / SEC#: , 8-52214

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
149 Cross Rail Lane Ste. 102, Norco, CA 92860
Mailing Address
149 Cross Rail Lane Ste 102, Norco, CA 92860
Phone number
(714) 704-1818
Established
California since 10/20/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ZHENG, JOE JIANKANGCHIEF FINANCIAL OFFICER, SROP, CROP2318835
HO, LILY MEIXIAPRESIDENT, CEO, CCO4336165

Disclosures

Regulatory Event3

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.

Company Information

J.K. FINANCIAL SERVICES, INC.

CRD#: 103728

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