SW
Shiow-yun C. Wu
PACKERLAND BROKERAGE SERVICES
City Of Industry, CA 91748
Some features on this profile are disabled
CRD#: 5915760
SW
Professional summary
Shiow-yun Claudia Wu, who also goes by Shiow-yun Wu, is a registered financial advisor currently at PACKERLAND BROKERAGE SERVICES, INC. located in City Of Industry, California.
Shiow-yun is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Shiow-yun has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shiow-Yun 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.
INSURANCE POSITION: Independent Contractor NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 32 START DATE: 03/01/2012 ADDRESS: 142 N San Gabriel Blvd, #b, San Gabriel CA 91775, United States DESCRIPTION: INSURANCE SALES
CRS (Client Relationship Summary) - RIA
Click below to view Shiow-yun Claudia Wu's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shiow-yun Claudia 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
July 13, 2022 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 1661 Hanover Road Suite 203, City Of Industry, CA 91748RIA
BD
CRD#: 37031
City Of Industry, CA
Current
July 13, 2022 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 1661 Hanover Road Suite 203, City Of Industry, CA 91748RIA
BD
CRD#: 37031
City Of Industry, CA
Past
January 5, 2022 - June 13, 2022
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SAN GABRIEL, CA
Past
January 5, 2022 - June 13, 2022
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
SAN GABRIEL, CA
Past
June 9, 2021 - December 31, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MISSION HILLS, CA
Past
January 2, 2020 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MISSION HILLS, CA
Past
November 2, 2018 - October 29, 2019
OSAIC WEALTH, INC.
BD
CRD#: 23131
PASADENA, CA
Past
October 11, 2018 - November 2, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
LAFAYETTE, CA
Past
October 16, 2017 - October 9, 2018
J.K. FINANCIAL SERVICES, INC.
BD
CRD#: 103728
NORCO, CA
Past
September 10, 2013 - December 31, 2015
J.K. FINANCIAL SERVICES, INC.
BD
CRD#: 103728
NORCO, CA
Past
May 23, 2011 - September 27, 2011
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
IRVINE, CA
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".
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago 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(7/13/2022)
IAR
California(7/13/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
432 Security Blvd. Ste. 101, Green Bay, WI 54313-9709
Mailing Address
432 Security Blvd., Green Bay, WI 54313
Phone number
(920) 662-9500
Established
Wisconsin since 07/11/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
286
SEC notice filing (47 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KELLY, ZACHARY P | DIRECTOR, SHAREHOLDER, CEO, BOARD PRESIDENT & SECRETARY | 5263665 |
| VAN ESS, WILLIAM SCOTT | DIRECTOR, SHAREHOLDER, CHAIRMAN OF THE BOARD | 1929840 |
| WESTENBERG, STEVEN G | DIRECTOR, SHAREHOLDER, VICE CHAIRMAN , TREASURER | 2440924 |
| BOSTWICK, KAREN P | SHAREHOLDER | 2643853 |
| DOELGER, AARON ANDREW | SHAREHOLDER, CHIEF COMPLIANCE OFFICER | 4357639 |
Regulatory assets under management
| Total Number of Accounts | 4,245 |
| AUM (Assets Under Management) | $ 909,478,703 |
Disclosures
| Regulatory Event | 2 |
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.
