LW
Linda S. Wu
FRANKLIN DISTRIBUTORS
Short Hills, NJ 07078
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CRD#: 4902032
LW
Professional summary
Linda Susan Wu, who also goes by Linda Susan Sisouphanthala, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Short Hills, New Jersey.
Linda is registered as a RR (Registered Representative) and started their career in finance in 2005. Linda has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Linda Susan Sisouphanthala
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.
CRS (Client Relationship Summary) - BD
Click below to view Linda Susan Wu's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 26, 2018 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: 101 John F. Kennedy Parkway, Short Hills, NJ 07078BD
CRD#: 109064
Short Hills, NJ
Past
March 19, 2014 - March 16, 2018
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
October 4, 2006 - July 13, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
MINNEAPOLIS, MN
Past
December 8, 2005 - March 20, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
June 6, 2005 - December 5, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
EDINA, MN
Past
April 21, 2005 - December 5, 2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/26/2018)
RR
Alaska(3/26/2018)
RR
Arizona(3/26/2018)
RR
Arkansas(3/26/2018)
RR
California(3/26/2018)
RR
Colorado(3/26/2018)
RR
Connecticut(3/26/2018)
RR
Delaware(3/26/2018)
RR
District of Columbia(3/26/2018)
RR
Florida(3/26/2018)
RR
Georgia(3/26/2018)
RR
Hawaii(3/26/2018)
RR
Idaho(3/26/2018)
RR
Illinois(3/26/2018)
RR
Indiana(3/26/2018)
RR
Iowa(3/26/2018)
RR
Kansas(3/26/2018)
RR
Kentucky(3/26/2018)
RR
Louisiana(3/26/2018)
RR
Maine(3/26/2018)
RR
Maryland(3/26/2018)
RR
Massachusetts(3/26/2018)
RR
Michigan(3/26/2018)
RR
Minnesota(3/26/2018)
RR
Mississippi(3/26/2018)
RR
Missouri(3/26/2018)
RR
Montana(3/26/2018)
RR
Nebraska(3/26/2018)
RR
Nevada(3/26/2018)
RR
New Hampshire(3/26/2018)
RR
New Jersey(3/26/2018)
RR
New Mexico(3/26/2018)
RR
New York(3/26/2018)
RR
North Carolina(3/26/2018)
RR
North Dakota(3/26/2018)
RR
Ohio(3/26/2018)
RR
Oklahoma(3/26/2018)
RR
Oregon(3/26/2018)
RR
Pennsylvania(3/26/2018)
RR
Puerto Rico(3/26/2018)
RR
Rhode Island(3/26/2018)
RR
South Carolina(3/26/2018)
RR
South Dakota(3/26/2018)
RR
Tennessee(3/26/2018)
RR
Texas(3/26/2018)
RR
Utah(3/26/2018)
RR
Vermont(3/26/2018)
RR
Virgin Islands(3/26/2018)
RR
Virginia(3/26/2018)
RR
Washington(3/26/2018)
RR
West Virginia(3/26/2018)
RR
Wisconsin(3/26/2018)
RR
Wyoming(3/26/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC
CRD#: 109064 / SEC#: , 8-53089
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 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.
