Ju Wang
Professional summary
Ju Wang is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in New York, New York.
Ju is registered as a RR (Registered Representative) and started their career in finance in 2007. Ju has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ju Wang's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 8, 2018 - Present
DWS DISTRIBUTORS, INC.
Office #1: 875 Third Avenue, New York, NY 10022May 25, 2010 - May 8, 2018
DEUTSCHE BANK SECURITIES INC.
October 10, 2007 - July 24, 2008
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/8/2018)
Exams
FINRA
Current Firm
DWS DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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