Nu Wang
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.
Nu Wang was a registered financial professional .
Nu is a previously registered financial professional and started their career in finance in 2007. Nu had worked at 5 firms and has passed the Series 66 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
November 30, 2010 - February 28, 2014
NORTHWEST ASSET MANAGEMENT
March 29, 2010 - January 3, 2011
IMS CAPITAL MANAGEMENT
October 5, 2009 - November 11, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - November 11, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
April 11, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 9, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
March 2, 2007 - April 5, 2007
CITIGROUP GLOBAL MARKETS INC.
January 9, 2007 - April 5, 2007
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
NORTHWEST ASSET MANAGEMENT
CRD#: 147923 / SEC#: 801-69483
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
NORTHWEST ASSET MANAGEMENT
CRD#: 147923 / SEC#: 801-69483
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,844 |
| AUM (Assets Under Management) | $ 3,608,262,509 |
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.
