Wyman Chu
Professional summary
Wyman Chu is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Westport, Connecticut.
Wyman is registered as a RR (Registered Representative) and started their career in finance in 1995. Wyman has worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Wyman Chu's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 1, 2023 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 13 Riverside Avenue, Westport, CT 06880March 7, 2022 - December 21, 2022
GYL FINANCIAL SYNERGIES, LLC
February 12, 2019 - August 3, 2021
FRANKLIN DISTRIBUTORS, LLC
April 15, 2015 - December 3, 2018
NYLIFE DISTRIBUTORS LLC
February 25, 2014 - April 17, 2015
ALPS DISTRIBUTORS, INC.
April 5, 2012 - August 6, 2013
CAVU SECURITIES LLC
January 28, 2011 - November 14, 2011
TELSEY ADVISORY GROUP LLC
September 23, 2010 - January 31, 2011
ISLAND TRADING
May 18, 2009 - September 24, 2010
PCS DUNBAR SECURITIES, LLC
January 9, 2008 - May 7, 2009
COWEN PRIME SERVICES TRADING LLC
May 24, 2006 - January 2, 2008
OTR GLOBAL TRADING LLC
April 6, 1998 - January 2, 2008
OTA LLC
November 27, 1995 - September 19, 1997
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/3/2023)
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Exams
Series 7TO
Date: 12/12/2022
General Securities Representative ExaminationSeries 55
Date: 4/22/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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
FORESIDE FUND SERVICES, LLC
CRD#: 46106Westport, CT 06880TRUST BUT VERIFY
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