Wayne Chu
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.
Wayne Chu, who also goes by Chung Wing Chu, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1989. Wayne had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2003 - June 2, 2009
FORTUNE SECURITIES, INC.
September 5, 2003 - December 31, 2016
CHU, WAYNE OR STANFORD GLOBAL CAPITAL
November 12, 2002 - July 22, 2005
PROACTIVE MONEY MANAGEMENT INC
April 1, 2002 - November 22, 2005
PARADIGM WEALTH ADVISORS, LLC
April 4, 2000 - January 27, 2003
THOMASLLOYD CAPITAL LLC
April 3, 1996 - April 7, 2000
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 8, 1992 - April 12, 1996
LPL FINANCIAL LLC
December 19, 1989 - September 23, 1992
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FORTUNE SECURITIES, INC.
CRD#: 40821 / SEC#: , 8-49208
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
