WH
Wen-chuan Hsu
JEFFERIES LLC
New York, NY 10022
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CRD#: 2572221
WH
Professional summary
Wen-chuan Hsu, who also goes by Annie Wen Chaun Hsu, Annie Hsu, Annie Wenchuan, is a registered financial professional currently at JEFFERIES LLC located in New York, New York.
Wen-chuan is registered as a RR (Registered Representative) and started their career in finance in 1999. Wen-chuan has worked at 8 firms and has passed the Series 57TO, Series 79TO, SIE, Series 7 and Series 14 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Annie Wen Chaun Hsu | Annie Hsu | Annie Wenchuan
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.
CRS (Client Relationship Summary) - BD
Click below to view Wen-chuan Hsu's 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®
NoneExperience
Current
January 15, 2021 - Present
JEFFERIES LLC
Office #1: 520 Madison Avenue, New York, NY 10022BD
CRD#: 2347
New York, NY
Past
March 10, 2020 - June 26, 2020
INTREPID INVESTMENT BANKERS LLC
BD
CRD#: 154801
LOS ANGELES, CA
Past
November 28, 2018 - February 24, 2020
MUFG AMERICAS CORPORATE ADVISORY, INC.
BD
CRD#: 10151
NEW YORK, NY
Past
January 26, 2017 - October 17, 2017
MUFG SECURITIES (CANADA), LTD.
BD
CRD#: 281904
NEW YORK, NY
Past
December 21, 2016 - June 26, 2020
MUFG SECURITIES AMERICAS INC.
BD
CRD#: 19685
NEW YORK, NY
Past
August 18, 2015 - January 3, 2017
BNP PARIBAS PRIME BROKERAGE, INC.
BD
CRD#: 24962
NEW YORK, NY
Past
August 17, 2015 - January 3, 2017
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
NEW YORK, NY
Past
August 5, 2004 - December 10, 2013
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
NEW YORK, NY
Past
August 17, 1999 - May 1, 2003
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
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
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JL
JEFFERIES LLC
JEFFERIES & COMPANY, INC. | JEFFERIES LLC
CRD#: 2347 / SEC#: , 8-15074
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
520 Madison Avenue, New York, NY 10022
Mailing Address
520 Madison Avenue 16th Floor, New York, NY 10022
Phone number
(212) 284-2300
Established
Delaware since 03/01/2013
Firm type
Limited Liability Company
Fiscal year end
November
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERIES FINANCIAL GROUP INC | DIRECT OWNER | |
| CAGNO, MARK LAWRENCE | GLOBAL CONTROLLER, MANAGING DIRECTOR | 2510148 |
| FISCELLA, MICHAEL EUGENE | GLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR | 2490187 |
| FORLENZA, PETER CHARLES | GLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR | 2366985 |
| FRIEDMAN, BRIAN PAUL | DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE | 1298550 |
| HANDLER, RICHARD BRIAN | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1563245 |
| LARSON, MATTHEW SCOTT | EXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER | 2605152 |
| SCORAN, LAURI A | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 2060170 |
| SHARP, MICHAEL JAMES | GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT | 1013864 |
| STACCONI, JOHN FRANCO | TREASURER | 1814227 |
Disclosures
| Regulatory Event | 133 |
| Arbitration | 4 |
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.
