Thompson K. 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.
Thompson Km Wu, who also goes by Thompson Wu, was a registered financial professional .
Thompson is a previously registered financial professional and started their career in finance in 2006. Thompson had worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 86, Series 87 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
July 8, 2025 - June 16, 2026
CLSA AMERICAS, LLC
May 5, 2025 - June 16, 2026
CLSA AMERICAS, LLC
September 11, 2006 - October 2, 2014
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 5/3/2025
General Securities Representative ExaminationCurrent Firm
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
Contact information
FINRA licenses (53 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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