Adrian S. 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.
Adrian Siu-cheuk Wu, who also goes by Adrian S Wu, was a registered financial professional .
Adrian is a previously registered financial professional and started their career in finance in 2002. Adrian had worked at 5 firms and has passed the Series 63, SIE 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
Experience
November 2, 2016 - February 14, 2018
MADISON PAIGE SECURITIES LLC
January 30, 2015 - December 27, 2016
LPE SECURITIES, LLC
July 19, 2007 - November 19, 2010
DEUTSCHE BANK SECURITIES INC.
April 26, 2005 - June 21, 2007
UBS SECURITIES LLC
December 2, 2002 - May 13, 2005
CITIGROUP GLOBAL MARKETS 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
Exams
Current Firm
MADISON PAIGE SECURITIES LLC
CRD#: 226538 / SEC#: , 8-69621
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
