Elle 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.
Elle Wu, who also goes by Eileen Tina Wu, Eileen Wu, was a registered financial professional .
Elle is a previously registered financial professional and started their career in finance in 2008. Elle had worked at 6 firms and has passed the Series 66, SIE 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 17, 2022 - January 9, 2024
THORNBURG SECURITIES LLC
October 9, 2020 - November 2, 2022
CREDIT SUISSE SECURITIES (USA) LLC
October 8, 2020 - November 2, 2022
CREDIT SUISSE SECURITIES (USA) LLC
March 12, 2018 - July 25, 2019
ALLIANCEBERNSTEIN L.P.
July 5, 2017 - July 25, 2019
SANFORD C. BERNSTEIN & CO., LLC
May 18, 2010 - May 19, 2017
UBS SECURITIES LLC
October 14, 2008 - May 19, 2010
UBS FINANCIAL SERVICES INC.
September 17, 2008 - May 19, 2010
UBS FINANCIAL SERVICES 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
Exams
Current Firm
THORNBURG SECURITIES LLC
CRD#: 14857 / SEC#: , 8-31249
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THORNBURG INVESTMENT MANAGEMENT INC | SOLE MEMBER | 106357 |
| BHATT, NIMISH SANJAY | TREASURER, PRINCIPAL FINANCIAL OFFICER | 2789977 |
| BROWNELL, JESSE RYAN | GLOBAL HEAD OF DISTRIBUTION | 5511918 |
| CALLOW, AMY | SECRETARY | |
| HOLLOWAY, CURTIS EDWARD | PRINCIPAL OPERATIONS OFFICER | 5130594 |
| OLEXSAK, RONALD | CHIEF COMPLIANCE OFFICER | 2858575 |
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.
