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Tun Wu Michael Chuang

CRD# 4508864·Registered 2002 - 2016
Previously Registered: Being a previously registered professional could mean that Tun Wu 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.

Professional Summary

Tun Wu Michael Chuang, who also goes by Michael Chuang, Mike Chuang, was a registered financial advisor. Tun Wu was a previously registered financial professional and started their career in finance 2002 - 2016. Tun Wu had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael Chuang, Mike Chuang

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

24 years in the financial services industry

Current & Past Employments

ITB SECURITIES, LLC·CRD# 132665
BD
New York, NY
August 13, 2009 - February 26, 2016
UBS SECURITIES LLC·CRD# 7654
BD
New York, NY
November 21, 2006 - April 8, 2008
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
March 28, 2002 - July 25, 2006

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Current Firm

IS
ITB SECURITIES, LLC

ITB SECURITIES, LLC | SEWARD CAPITAL PARTNERS

CRD#: 132665 / SEC#: 8-66621
BD
Terminated by SEC on 02/26/2016

Contact Information

Established

New York since 04/23/1999

Firm Type

Limited Liability Company

Fiscal Year End

April

Documents

Direct owners and executive officers

NamePositionCRD#
ITB HOLDINGS, INC.SHAREHOLDER—
CHUANG, TUN WU MICHAELCEO/CCO4508864
GENDRON, KAREN MARIEFINOP1503330
GUPTA, SUMANT MMANAGING DIRECTOR - HEAD OF CORPORATE DEVELOPMENT4622177

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2002About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Feb 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Mar 2002About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 2009About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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