Stephen D. 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.
Stephen David Wu, who also goes by Stephen Wu, Steve Wu, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2009. Stephen had worked at 2 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2012 - October 26, 2012
ELADIAN PARTNERS BROKERAGE LLC
November 13, 2009 - February 23, 2011
HRT EXECUTION SERVICES LLC
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
ELADIAN PARTNERS BROKERAGE LLC
CRD#: 158893 / SEC#: , 8-68940
Contact information
Documents
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.
