Wanmu 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.
Wanmu Wu, who also goes by Wu Wanmu Mr, Wu Wanmu, Ralph Wu, was a registered financial professional .
Wanmu is a previously registered financial professional and started their career in finance in 2003. Wanmu had worked at 3 firms and has passed the Series 63 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
January 16, 2013 - February 6, 2014
CAROLINA CAPITAL MARKETS, INC.
October 6, 2011 - January 2, 2013
CAROLINA CAPITAL MARKETS, INC.
March 2, 2009 - September 28, 2011
CAROLINA CAPITAL MARKETS, INC.
February 15, 2008 - February 26, 2009
STONEX SECURITIES INC.
October 24, 2003 - October 3, 2007
DEUTSCHE BANK SECURITIES 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
CAROLINA CAPITAL MARKETS, INC.
CRD#: 38156 / SEC#: , 8-48095
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
