Lian H. 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.
Lian Huo Wu was a registered financial professional .
Lian is a previously registered financial professional and started their career in finance in 1970. Lian had worked at 4 firms and has passed the Series 63, SIE, Series 1, Series 4 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
September 8, 1986 - October 29, 2018
EMPIRE INVESTMENT INC.
February 7, 1974 - September 14, 1987
THOMSON MCKINNON SECURITIES INC.
July 2, 1973 - March 18, 1974
DUPONT WALSTON, INCORPORATED
July 24, 1970 - July 2, 1973
DUPONT GLORE FORGAN 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
Series 1
Date: 12/11/1969
Registered Representative ExaminationCurrent Firm
EMPIRE INVESTMENT INC.
CRD#: 16763 / SEC#: , 8-33594
Contact information
FINRA licenses (3 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WU, LEON SUN | PRESIDENT/ CHIEF COMPLIANCE OFFICER | 6529899 |
Disclosures
| Regulatory Event | 4 |
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.
