James P. 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.
James Pei Wu, who also goes by James P Wu, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2011 - December 14, 2012
COASTAL TRADE SECURITIES, LLC
February 26, 2010 - June 7, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
January 19, 1999 - August 30, 2005
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
COASTAL TRADE SECURITIES, LLC
CRD#: 148246 / SEC#: , 8-67999
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
