Jianshu Wu
Professional summary
Jianshu Wu, who also goes by Jason Wu, is a registered financial professional currently at NATWEST MARKETS SECURITIES INC. located in Stamford, Connecticut.
Jianshu is registered as a RR (Registered Representative) and started their career in finance in 2015. Jianshu has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jianshu Wu's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 18, 2018 - Present
NATWEST MARKETS SECURITIES INC.
Office #1: 600 Washington Boulevard, Stamford, CT 06901August 12, 2015 - January 16, 2018
MORGAN STANLEY & CO. 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
(1/18/2018)
Exams
FINRA
Current Firm
NATWEST MARKETS SECURITIES INC.
CRD#: 11707 / SEC#: , 8-37135
Contact information
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBS HOLDINGS USA INC. | SHAREHOLDER | |
| AUSBURN, MICHAEL THOMAS | DIRECTOR / CHIEF FINACIAL OFFICER | 2523037 |
| BROWER, LISA | SECRETARY, GENERAL COUNSEL | 6177644 |
| BUCCI, MICHELLE A | CHIEF OPERATING OFFICER | 5192971 |
| DESIMONE, LISA MARIE | CHIEF COMPLIANCE OFFICER | 2691368 |
| GIRARD, MICHELLE COLLEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 2185240 |
| ROOSE, SCOTT | DIRECTOR | 2539705 |
| SPEZZANO, CASEY RYAN | DIRECTOR | 4678231 |
Disclosures
| Regulatory Event | 43 |
| Civil Event | 4 |
Red Flags
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