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WD

Wenwei Dai

FUTU CLEARING
Dallas, TX 75251
Some features on this profile are disabled
CRD#: 2487180
WD

Professional summary

Wenwei Dai, who also goes by Wen Dai, Wayne Dai, is a registered financial professional currently at FUTU CLEARING INC located in Dallas, Texas and MOOMOO FINANCIAL INC. located in Jersey City, New Jersey.

Wenwei is registered as a RR (Registered Representative) and started their career in finance in 2019. Wenwei has worked at 3 firms and has passed the Series 99TO, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Wen Dai | Wayne Dai

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) - BD

Click below to view Wenwei Dai's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 20, 2021 - Present

FUTU CLEARING INC

Office #1: 12750 Merit Drive Suite 475, Dallas, TX 75251
BD
CRD#: 298769
Dallas, TX
Current

August 11, 2024 - Present

MOOMOO FINANCIAL INC.

Office #1: 185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311
BD
CRD#: 283078
JERSEY CITY, NJ
Past

December 20, 2021 - March 22, 2024

MOOMOO FINANCIAL INC.

BD
CRD#: 283078
JERSEY CITY, NJ
Past

July 18, 2019 - July 9, 2021

VELOX CLEARING LLC

BD
CRD#: 290215
MIAMI, FL

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

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/18/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/3/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

MF
MOOMOO FINANCIAL INC.
FUTU INC | MOOMOO FINANCIAL INC. | MOOMOO FINANCIAL INC

CRD#: 283078 / SEC#: , 8-69739

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

Main Address
185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311
Mailing Address
185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311
Phone number
(650) 798-5700
Established
Delaware since 12/17/2015
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
FUTU US INCSHAREHOLDER
CHAN, WING KEIMANAGING DIRECTOR6616753
DU, SHUANGHEAD OF US OPERATIONS5005050
MCDONALD, NEIL ANTHONYCEO1764574
PALMER, NATHAN TYLERPRESIDENT5805173
PARSONS, DARREN JAMESCHIEF OPERATIONS OFFICER2382680
SHARMA, VICKRAMJITCHIEF LEGAL OFFICER7186502
SHEN, QIUFANGHEAD OF FINANCE3158926
STIFELMAN, GLEN ROBERTCHIEF COMPLIANCE OFFICER1699013

Disclosures

Regulatory Event2
Arbitration3

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

MOOMOO FINANCIAL INC.

CRD#: 283078Dallas, TX 75251

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