Cindy S. Wu
Professional summary
Cindy Sf Wu, who also goes by Cindy S F Wu, Shu Fen Wu, is a registered financial professional currently at COLONIAL SECURITIES, INC. located in New York, New York.
Cindy is registered as a RR (Registered Representative) and started their career in finance in 1994. Cindy has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cindy Sf Wu's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2016 - Present
COLONIAL SECURITIES, INC.
Office #1: 80 Bowery Room 603, New York, NY 10013-4689March 7, 1994 - November 25, 2016
MOMENTIX CAPITAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/5/2020)
(7/23/2024)
(7/23/2024)
(11/3/2016)
(10/31/2016)
(3/9/2017)
Exams
FINRA
Current Firm
COLONIAL SECURITIES, INC.
CRD#: 3013 / SEC#: , 8-17631
Contact information
FINRA licenses (15 States and Territories)
Disclosures
| Regulatory Event | 11 |
Red Flags
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