GW
George Wu
COMMONFUND SECURITIES
Darien, CT 06820
Some features on this profile are disabled
CRD#: 5947220
GW
Professional summary
George Wu is a registered financial professional currently at COMMONFUND SECURITIES, INC. located in Darien, Connecticut.
George is registered as a RR (Registered Representative) and started their career in finance in 2013. George has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view George 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
October 31, 2023 - Present
COMMONFUND SECURITIES, INC.
Office #1: 9 Old Kings Highway South Suite 405, Darien, CT 06820BD
CRD#: 43541
Darien, CT
Past
August 6, 2013 - July 23, 2015
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
LOS ANGELES, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(1/9/2024)
RR
Alaska(1/9/2024)
RR
Arizona(1/9/2024)
RR
Arkansas(1/9/2024)
RR
California(12/19/2023)
RR
Colorado(1/9/2024)
RR
Connecticut(12/19/2023)
RR
Delaware(1/9/2024)
RR
District of Columbia(1/9/2024)
RR
Florida(1/9/2024)
RR
Georgia(1/9/2024)
RR
Hawaii(1/9/2024)
RR
Idaho(1/9/2024)
RR
Illinois(1/9/2024)
RR
Indiana(1/9/2024)
RR
Iowa(1/9/2024)
RR
Kansas(1/9/2024)
RR
Kentucky(1/9/2024)
RR
Louisiana(1/9/2024)
RR
Maine(1/9/2024)
RR
Maryland(1/9/2024)
RR
Massachusetts(1/9/2024)
RR
Michigan(1/9/2024)
RR
Minnesota(1/9/2024)
RR
Mississippi(1/9/2024)
RR
Missouri(1/9/2024)
RR
Montana(1/9/2024)
RR
Nebraska(1/9/2024)
RR
Nevada(1/9/2024)
RR
New Hampshire(1/9/2024)
RR
New Jersey(1/9/2024)
RR
New Mexico(1/9/2024)
RR
New York(12/19/2023)
RR
North Carolina(1/9/2024)
RR
North Dakota(1/9/2024)
RR
Ohio(1/9/2024)
RR
Oklahoma(1/9/2024)
RR
Oregon(1/9/2024)
RR
Pennsylvania(1/9/2024)
RR
Puerto Rico(1/9/2024)
RR
Rhode Island(1/9/2024)
RR
South Carolina(1/9/2024)
RR
South Dakota(1/9/2024)
RR
Tennessee(1/9/2024)
RR
Texas(1/9/2024)
RR
Utah(1/9/2024)
RR
Vermont(1/9/2024)
RR
Virgin Islands(1/9/2024)
RR
Virginia(1/9/2024)
RR
Washington(1/9/2024)
RR
West Virginia(1/9/2024)
RR
Wisconsin(1/9/2024)
RR
Wyoming(1/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/31/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
COMMONFUND SECURITIES, INC.
COMMONFUND SECURITIES, INC. | ENDOWMENT SERVICES, INC.
CRD#: 43541 / SEC#: , 8-50337
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
15 Old Danbury Road, Wilton, CT 06897
Mailing Address
15 Old Danbury Road, Wilton, CT 06897
Phone number
(203) 563-5000
Established
Delaware since 05/30/1997
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONFUND HOLDING COMPANY, INC. | SHAREHOLDER | |
| BARD, NANCY KIERNAN | MANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS | 1324063 |
| CERASUOLO, VIOLETTA | CHIEF COMPLIANCE OFFICER | 5362546 |
| DURRELL, SUSAN KERR | MANAGING DIRECTOR; MEMBER, BOARD OF DIRECTORS | 2945336 |
| HARITON, ANITA LYNNE | PRESIDENT AND CHIEF EXECUTIVE OFFICER; CHAIR, BOARD OF DIRECTORS | 4104946 |
| SPONGBERG, JONATHAN D | TREASURER | 5521666 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
