Feng S. Wu
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.
Feng Sheng Wu was a registered financial professional .
Feng is a previously registered financial professional and started their career in finance in 1993. Feng had worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 1996 - November 13, 2023
AUFHAUSER SECURITIES, INC.
September 23, 1993 - February 23, 1996
FREETRADE.COM, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
AUFHAUSER SECURITIES, INC.
CRD#: 39673 / SEC#: , 8-48786
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUFHAUSER, ROBERT KEITH | PRESIDENT, CHIEF COMPLIANCE OFFICER, FINOP,SROP,CROP | 1073318 |
Disclosures
| Regulatory Event | 5 |
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.
