Nancy H. Wu
Professional summary
Nancy Hsuan Wu, who also goes by Nancy H Wu, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Nancy is registered as a RR (Registered Representative) and started their career in finance in 1996. Nancy has worked at 5 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nancy Hsuan Wu's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 9, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017November 5, 2012 - December 9, 2024
COWEN AND COMPANY
January 26, 2010 - September 14, 2012
COWEN AND COMPANY
July 13, 2000 - December 31, 2009
RAMIUS SECURITIES LLC
December 16, 1999 - June 29, 2000
PRUDENTIAL EQUITY GROUP, LLC
November 15, 1996 - November 10, 1999
DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/9/2024)
Exams
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Nasdaq Texas, LLC
New York Stock Exchange
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| ORTIZ, JORGE LUIS | FINANCIAL & OPERATIONS PRINCIPAL | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| WONG, KRISTIE | CHIEF FINANCIAL OFFICER | 4725261 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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