Elizabeth N. 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.
Elizabeth Nicole Wu, CFP®, who also goes by Liz W. Gilmore, Elizabeth N Wu, Liz Wu, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2004. Elizabeth had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2007
Experience
February 15, 2011 - June 7, 2012
YELLOWBRICKROAD FINANCIAL ADVISORS, LLC
February 1, 2007 - June 14, 2011
LPL FINANCIAL LLC
February 1, 2007 - June 14, 2011
LPL FINANCIAL LLC
November 15, 2005 - February 2, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 4, 2005 - February 2, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 7, 2004 - November 4, 2005
LPL FINANCIAL LLC
April 13, 2004 - November 4, 2005
LPL FINANCIAL 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
YELLOWBRICKROAD FINANCIAL ADVISORS, LLC
CRD#: 134209 / SEC#: 801-72467
Contact information
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.
