Jake Christopher Wu
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jake C Wu, Congwen Wu, Jake Wu
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL
Contact Information
Main Address
9777 Ridge Dr., Suite 360, Lenexa, KS 66219Mailing Address
9777 Ridge Dr., Suite 360, Lenexa, KS 66219Phone Number
(913) 905-3600Established
Missouri since 11/05/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
50SEC notice filing (29 States and Territories)
Registered to provide investment advisory services in 29 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 29 US 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, ELECTED MANAGER | 3172920 |
| KROPP, STEPHEN DALE | ELECTED MANAGER | 7337607 |
| PATRICK, MICHAEL ALAN | ELECTED MANAGER | 6482087 |
Regulatory Assets Under Management
Total Number of Accounts
4,987AUM (Assets Under Management)
$410,682,447Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC | COPPER FINANCIAL NETWORK, LLC | COPPER FINANCIAL
State Registrations and Notice Filings
(1/17/2025)
(11/10/2020)
(11/10/2020)
(12/1/2020)
(12/1/2020)
(1/12/2021)
(9/26/2022)
(11/10/2020)
(11/10/2020)
(3/1/2022)
(2/9/2023)
(1/3/2022)
(1/3/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2012About the Series 6 examSRO Registrations
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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).
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