Madison L. Luu
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.
Madison L Luu, who also goes by Le Binh Luu, Madison Le Luu, was a registered financial professional .
Madison is a previously registered financial professional and started their career in finance in 2005. Madison had worked at 7 firms and has passed the Series 66, Series 7TO, 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
February 12, 2018 - September 28, 2020
WEDBUSH SECURITIES INC.
February 6, 2018 - September 28, 2020
WEDBUSH SECURITIES INC.
November 1, 2016 - January 31, 2018
MASON & ASSOCIATES, INC.
September 16, 2016 - October 17, 2016
OSAIC SERVICES, INC.
September 16, 2016 - October 17, 2016
OSAIC SERVICES, INC.
April 2, 2013 - September 26, 2014
CUSO FINANCIAL SERVICES, L.P.
April 2, 2013 - September 26, 2014
CUSO FINANCIAL SERVICES, L.P.
September 16, 2011 - April 1, 2013
OSAIC SERVICES, INC.
March 19, 2010 - September 20, 2011
CUSO FINANCIAL SERVICES, L.P.
March 19, 2010 - September 20, 2011
CUSO FINANCIAL SERVICES, L.P.
May 2, 2009 - September 18, 2009
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - September 18, 2009
CHASE INVESTMENT SERVICES CORP.
February 15, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
February 15, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
November 2, 2005 - December 12, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 8, 2005 - December 12, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
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 7TO
Date: 3/30/2024
General Securities Representative ExaminationCurrent Firm
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
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.
