Jimmy S. Wu

MISSION WEALTH MANAGEMENT, LP

Bellevue, WA 98004

CRD#: 2669926

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Professional summary

Jimmy Shanggee Wu, who also goes by Jimmy Shanggee Ng, is a registered financial advisor currently at MISSION WEALTH MANAGEMENT, LP located in Bellevue, Washington.

Jimmy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Jimmy has worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jimmy Shanggee Ng

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) - RIA

Click below to view Jimmy Shanggee Wu'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

May 19, 2026 - Present

MISSION WEALTH MANAGEMENT, LP

Office #1: 10900 Ne 8th Street Suite 1640, Bellevue, WA 98004

RIA

CRD#: 113057

Bellevue, WA

Past

June 23, 2016 - May 21, 2026

FRG FAMILY WEALTH ADVISORS

RIA

CRD#: 282542

BELLEVUE, WA

Past

January 12, 2005 - July 1, 2010

OSAIC WEALTH, INC.

CRD#: 23131

BELLEVUE, WA

Past

May 17, 2004 - November 14, 2016

FINANCIAL RESOURCES GROUP

RIA

CRD#: 116897

BELLEVUE, WA

Past

May 22, 2001 - December 3, 2002

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

KENT, WA

Past

March 12, 1999 - December 3, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

October 25, 1995 - February 23, 1999

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Washington
(5/19/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/2/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/25/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/27/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/24/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/27/1999

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/13/1999

General Securities Sales Supervisor - Options Module Examination

Current Firm

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 Terminated)

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Contact information

Main Address

1111 Chapala Street 3rd Floor, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 882-2360

Established

Firm type

Fiscal year end

# of Employees

184

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MWM FORM ADV PART 2A - FIRM BROCHURE (3/19/2026)

Regulatory assets under management

Total Number of Accounts	16,573
AUM (Assets Under Management)	$ 13,912,131,150

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.

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Advisor Monitoring

Firm Stability Insights

Jimmy S. Wu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jimmy Shanggee Wu's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRG FAMILY WEALTH ADVISORS

OSAIC WEALTH, INC.

FINANCIAL RESOURCES GROUP

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

MISSION WEALTH MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 66

Date: 5/2/2001

Series 63

Date: 10/25/1995

Series 7

Date: 3/27/1996

Series 6

Date: 10/24/1995

Series 10

Date: 12/27/1999

Series 9

Date: 7/13/1999

Current Firm

MISSION WEALTH MANAGEMENT, LP

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MISSION WEALTH MANAGEMENT, LP

TRUST BUT VERIFY

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