Wen Wen 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.
Wen Wen Wu, CFP® was a registered financial professional .
Wen Wen is a previously registered financial professional and started their career in finance in 2009. Wen Wen had worked at 3 firms and has passed the Series 66 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
Start date: 2012
Experience
August 11, 2020 - November 22, 2021
EMPIRIKAL PARTNERS LLC
August 5, 2010 - October 19, 2012
NYLIFE SECURITIES LLC
October 5, 2009 - June 29, 2010
WADDELL & REED
September 10, 2009 - June 29, 2010
WADDELL & REED
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
EMPIRIKAL PARTNERS LLC
CRD#: 282691 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 170 |
| AUM (Assets Under Management) | $ 88,000,000 |
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.
