Raymond H. Wu

MOELIS & COMPANY LLC

BOSTON, MA 02109

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CRD#: 4993589

Professional summary

Raymond Hok-sing Wu, who also goes by Raymond Hok Sing Wu, is a registered financial professional currently at MOELIS & COMPANY LLC located in Boston, Massachusetts.

Raymond is registered as a RR (Registered Representative) and started their career in finance in 2005. Raymond has worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Raymond Hok Sing Wu

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Raymond Hok-sing Wu's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 28, 2023 - Present

MOELIS & COMPANY LLC

Office #1: 53 State Street Exchange Place 38th Floor-suite 3803, Boston, MA 02109

CRD#: 145115

BOSTON, MA

Past

July 19, 2021 - May 1, 2023

LEERINK PARTNERS LLC

CRD#: 39011

SAN FRANCISCO, CA

Past

January 17, 2019 - July 27, 2021

UBS SECURITIES LLC

CRD#: 7654

SAN FRANCISCO, CA

Past

March 11, 2016 - January 30, 2019

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

SAN FRANCISCO, CA

Past

April 20, 2011 - January 8, 2016

BMO CAPITAL MARKETS CORP.

CRD#: 16686

SAN FRANCISCO, CA

Past

August 8, 2005 - July 21, 2006

JEFFERIES LLC

CRD#: 2347

WALTHAM, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(4/28/2023)

Massachusetts
(1/4/2024)

Tennessee
(6/20/2024)

Exams

State Security Law Exam

Series 63

Date: 4/19/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 4/19/2011

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 8/6/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/27/2024

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MOELIS & COMPANY LLC

MOELIS | MOELIS & COMPANY LLC | MOELIS & COMPANY

CRD#: 145115 / SEC#: , 8-67705

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

399 Park Avenue 4th Floor, New York, NY 10022

Mailing Address

399 Park Avenue 4th Floor, New York, NY 10022

Phone number

(212) 883-3800

Established

Delaware since 06/12/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MOELIS & COMPANY GROUP LP	PARENT COMPANY
CALLESANO, CHRIS PETER	CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER	4889259
MAHMOODZADEGAN, NAVID ALI	CHIEF EXECUTIVE OFFICER	2609804
MOELIS, KENNETH DAVID	EXECUTIVE CHAIRMAN	1015047
PILCHER CIAFONE, KATHERINE CELY	CHIEF OPERATING OFFICER	4573006
RAICH, JEFFREY ALAN	EXECUTIVE VICE CHAIRMAN	2016620
WATANABE, OSAMU RICHARD	CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER	2875185

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Raymond H. Wu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Raymond Hok-sing Wu's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEERINK PARTNERS LLC

UBS SECURITIES LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BMO CAPITAL MARKETS CORP.

JEFFERIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/19/2011

SIE

Date: 10/1/2018

Series 79

Date: 4/19/2011

Series 7

Date: 8/6/2005

Series 24

Date: 3/27/2024

FINRA

Current Firm

MOELIS & COMPANY LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MOELIS & COMPANY LLC

TRUST BUT VERIFY

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