Peter F. Wu
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peter Fookhong Wu, who also goes by Peter F Wu, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1997. Peter had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2017 - September 13, 2017
BRIGHTHOUSE SECURITIES, LLC
June 21, 2012 - March 6, 2017
METLIFE INVESTORS DISTRIBUTION COMPANY
February 1, 2007 - May 14, 2012
CETERA INVESTMENT SERVICES LLC
January 1, 2005 - January 17, 2007
HSBC SECURITIES (USA) INC.
May 27, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
November 6, 2001 - May 26, 2004
PRINCIPAL SECURITIES, INC.
February 10, 1999 - November 2, 2001
MUTUAL SERVICE CORPORATION
October 6, 1997 - December 17, 1998
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BRIGHTHOUSE SECURITIES, LLC
CRD#: 285300 / SEC#: , 8-69845
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIGHTHOUSE HOLDINGS, LLC | SOLE MEMBER (SHAREHOLDER) | |
| BEAULIEU, PHILIP JOHNATHON | VICE PRESIDENT | 5300540 |
| DAVIS, MICHAEL BENJAMIN | VICE PRESIDENT | 1742347 |
| LAMBERT, MYLES JOSEPH | CHAIRMAN PRESIDENT AND CEO | 3107551 |
| MACILVANE, KEVIN MICHAEL JR | VICE PRESIDENT | 5164574 |
| MARTINEZ, JOHN GREGORY | PRINCIPAL FINANCIAL OFFICER | 2210722 |
| MORGAN, JANET MARIE | VICE PRESIDENT | 6770849 |
| NIGRO, GERARD JOSEPH | SENIOR VICE PRESIDENT | 1577003 |
| PROHONIC, KRISTIN LEE | CHIEF COMPLIANCE OFFICER | 3048592 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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