JW
Jake C. Wu
COPPER FINANCIAL
New York, NY 10017
Some features on this profile are disabled
CRD#: 5805528
JW
Professional summary
Jake Christopher Wu, who also goes by Jake C Wu, Congwen Wu, Jake Wu, is a registered financial advisor currently at COPPER FINANCIAL located in New York, New York.
Jake is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Jake has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jake C Wu | Congwen Wu | Jake 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.
(1) United Nations Federal Credit Union Advisors, Two UN Plaza, 3rd Floor, New York, NY 10017; Investment Advisory Firm; Investment-Related Business; Position: Financial Advisor; Duties: Financial Advisor to UNFCU Members; Began November 2020; Total Hours per month Devoted to Business: 160; Hours per month during trading hours devoted to business: 160.(2) COPPER FINANCIAL, 9777 RIDGE DRIVE, LENEXA, KS 66219; BROKER-DEALER & REGISTERED INVESTMENT ADVISER FIRM; INVESTMENT-RELATED BUSINESS; POSITION: REGISTERED REPRESENTATIVE & IAR; DUTIES: ADVISOR TO UNFCU CLIENTS; BEGAN 11/2020; TOTAL HOURS PER MONTH DEVOTED TO BUSINESS: 160; HOURS PER MONTH DURING TRADING HOURS DEVOTED TO BUSINESS: 160.
CRS (Client Relationship Summary) - RIA
Click below to view Jake Christopher Wu's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jake Christopher Wu'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®
NoneExperience
Current
March 1, 2022 - Present
COPPER FINANCIAL
Office #1: Two Un Plaza 3rd Floor (e. 44th Street, Between 1st And 2nd Avenue), New York, NY, 10017Office #2: 405 East 42nd Street 1b Visitor's Entrance On 46th Street, New York, NY, 10017RIA
BD
CRD#: 168203
New York, NY
Current
November 10, 2020 - Present
COPPER FINANCIAL
Office #1: Two Un Plaza 3rd Floor (e. 44th Street, Between 1st And 2nd Avenue), New York, NY, 10017RIA
BD
CRD#: 168203
New York, NY
Past
November 12, 2020 - October 13, 2022
UNFCU ADVISORS LLC
RIA
CRD#: 136572
New York, NY
Past
May 25, 2017 - August 28, 2020
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
New York, NY
Past
May 24, 2017 - August 28, 2020
SANTANDER SECURITIES LLC
BD
CRD#: 41791
New York, NY
Past
February 8, 2016 - April 3, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
September 16, 2015 - April 3, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 8, 2012 - August 10, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
COPPER FINANCIAL
COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL
CRD#: 168203 / SEC#: 801-89168, 8-69295
RIA
Registered Investment Advisory firm - SEC (4/30/2015 Approved)California
Registered Investment Advisory firm - SEC (7/2/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/6/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(1/17/2025)
RR
Connecticut(11/10/2020)
RR
District of Columbia(11/10/2020)
RR
Florida(12/1/2020)
RR
Maryland(12/1/2020)
RR
Massachusetts(1/12/2021)
RR
Minnesota(9/26/2022)
RR
New Jersey(11/10/2020)
RR
New York(11/10/2020)
IAR
New York(3/1/2022)
RR
Pennsylvania(2/9/2023)
RR
Virginia(1/3/2022)
RR
Washington(1/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COPPER FINANCIAL
COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL
CRD#: 168203 / SEC#: 801-89168, 8-69295
RIA
Registered Investment Advisory firm - SEC (4/30/2015 Approved)California
Registered Investment Advisory firm - SEC (7/2/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/6/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/5/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (6/2/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
9777 Ridge Dr., Suite 360, Lenexa, KS 66219
Mailing Address
9777 Ridge Dr., Suite 360, Lenexa, KS 66219
Phone number
(913) 905-8116
Established
Missouri since 11/05/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
50
SEC notice filing (29 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMUNITYAMERICA CUSO ONE LLC | SHAREHOLDER | |
| CHRISTIAN, TRACY | ELECTED MANAGER | 7678129 |
| DEHNER, MICHAEL JAMES | FINANCIAL OPERATIONS PRINCIPAL | 7334680 |
| GINTER, LISA ROSELLE | ELECTED MANAGER | 6482083 |
| HAGGERTY, MICHAEL PATRICK | PRESIDENT, CHIEF COMPLIANCE OFFICER | 3172920 |
| KROPP, STEPHEN DALE | ELECTED MANAGER | 7337607 |
| PATRICK, MICHAEL ALAN | ELECTED MANAGER | 6482087 |
| SARACINI, TIMOTHY RICE | ELECTED MANAGER | 1303842 |
Regulatory assets under management
| Total Number of Accounts | 4,082 |
| AUM (Assets Under Management) | $ 346,070,238 |
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.
