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JF

Jennifer W. Fiset

BARINGS SECURITIES
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 5539276
JF

Professional summary

Jennifer Wu Fiset, who also goes by Jennifer Wu, Jennifer-mingyu Wu, is a registered financial professional currently at BARINGS SECURITIES LLC located in Charlotte, North Carolina.

Jennifer is registered as a RR (Registered Representative) and started their career in finance in 2008. Jennifer has worked at 7 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jennifer Wu | Jennifer-Mingyu 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) - BD

Click below to view Jennifer Wu Fiset's 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

April 27, 2026 - Present

BARINGS SECURITIES LLC

Office #1: 300 S. Tryon Street Suite 2500, Charlotte, NC 28202
BD
CRD#: 36929
CHARLOTTE, NC
Past

May 15, 2023 - April 1, 2025

TCG CAPITAL MARKETS L.L.C.

BD
CRD#: 291767
NEW YORK, NY
Past

October 18, 2018 - April 4, 2023

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

July 21, 2010 - July 16, 2018

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
NEW YORK, NY
Past

February 22, 2010 - August 18, 2010

ING INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 21644
NEW YORK, NY
Past

December 11, 2008 - March 16, 2022

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA
CRD#: 106494
NEW YORK, NY
Past

September 30, 2008 - January 12, 2010

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
NEW YORK, NY
Past

September 9, 2008 - October 1, 2008

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

State Registrations and Notice Filings

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

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
Connecticut
(4/27/2026)
RR
Delaware
(4/27/2026)
RR
District of Columbia
(4/27/2026)
RR
Maine
(4/27/2026)
RR
Maryland
(4/27/2026)
RR
Massachusetts
(4/27/2026)
RR
New Hampshire
(4/27/2026)
RR
New Jersey
(4/27/2026)
RR
New York
(4/27/2026)
RR
North Carolina
(4/27/2026)
RR
Pennsylvania
(4/27/2026)
RR
Rhode Island
(4/27/2026)
RR
Vermont
(4/27/2026)
RR
Virginia
(4/27/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 12/8/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 2/22/2019
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 7/16/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/8/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BARINGS SECURITIES LLC
BABSON CAPITAL SECURITIES INC | BARINGS SECURITIES LLC | BABSON SECURITIES CORPORATION | BABSON CAPITAL SECURITIES LLC

CRD#: 36929 / SEC#: , 8-47589

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Mailing Address
300 S. Tryon Street Suite 2500, Charlotte, NC 28202
Phone number
(704) 805-7200
Established
Delaware since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BARINGS LLCDIRECT OWNER106006
DINERMAN, JILL ELYSECLERK AND SECRETARY
FRANCIS, SHELDON MAURICEDIRECTOR
LLOYD, ERIC JAMESPRESIDENT2314965
TAWA, DEREK MICHAELCHIEF COMPLIANCE OFFICER3054098
THOMAS, CHRISTOPHER COLINTREASURER7050594

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

BARINGS SECURITIES LLC

CRD#: 36929Charlotte, NC 28202

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