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TW

Thompson K. Wu

CLSA AMERICAS
San Francisco, CA 94104
Some features on this profile are disabled
CRD#: 5136092
TW

Professional summary

Thompson Km Wu, who also goes by Thompson Wu, is a registered financial advisor currently at CLSA AMERICAS, LLC located in San Francisco, California.

Thompson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Thompson has 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

Are you a "fiduciary"?
Yes

Aliases

Thompson 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) - RIA

Click below to view Thompson Km Wu's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thompson Km 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

July 8, 2025 - Present

CLSA AMERICAS, LLC

Office #1: 235 Montgomery Street, Suite 1060, San Francisco, CA 94104
RIA
BD
CRD#: 165533
San Francisco, CA
Current

May 5, 2025 - Present

CLSA AMERICAS, LLC

Office #1: 235 Montgomery Street, Suite 1060, San Francisco, CA 94104
RIA
BD
CRD#: 165533
San Francisco, CA
Past

September 11, 2006 - October 2, 2014

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
California
(7/8/2025)
IAR
California
(7/8/2025)
IAR
Connecticut
(7/8/2025)
RR
Florida
(7/8/2025)
RR
New York
(7/8/2025)
RR
Texas
(7/8/2025)
IAR
Texas
(7/8/2025)
RR
Virginia
(7/8/2025)
RR
Washington
(7/8/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/7/2025
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/30/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/3/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/28/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 1/8/2007
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 11/17/2006
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 9/9/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

CA
CLSA AMERICAS, LLC
CLSA AMERICAS, LLC

CRD#: 165533 / SEC#: , 8-69166

California
Registered Investment Advisory firm - SEC (1/1/2019 Approved)
Connecticut
Registered Investment Advisory firm - SEC (1/14/2019 Approved)
Texas
Registered Investment Advisory firm - SEC (1/28/2019 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1155 Avenue Of The Americas 17th Floor 17th Floor, New York, NY, 10036
Mailing Address
1155 Avenue Of The Americas 17th Floor, New York, NY, 10036
Phone number
(212) 549-5097
Established
Delaware since 08/15/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
61

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CLSA AMERICAS HOLDINGS, INC.MEMBER/SHAREHOLDER
BILLET, CHRISTIAN LESLIECCO2441597
HOLUB, WILLIAM CHARLESBOARD MEMBER, CFO-FINOP2680290
PARK, EDWARDBOARD MEMBER7550990
SCHWARTZ, BRADLEY HARRISBOARD MEMBER, CEO2372237
ZHANG, HUIZIBOARD MEMBER8008880

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.

Company Information

CLSA AMERICAS, LLC

CRD#: 165533San Francisco, CA 94104

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