MW
Max Wu
CAPITAL CLIENT GROUP
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 6516160
MW
Professional summary
Max Wu is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Los Angeles, California.
Max is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Max has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
?Name of the other business: Destin Thomas & Max Wu General Partnership ?Is the business Investment Related: No ?The address of the other business: 1601 Perkins Dr. Arcadia, California 91006 ?The nature of the other business: Limited Partnership established to purchase rental properties. ?Your position/title: Co-Founder / Limited Partner ?Start date: 11/2020 ?The number of hours/month you devote to the other business: Less than 1 ?The number of hours during securities trading hours: None
CRS (Client Relationship Summary) - RIA
Click below to view Max Wu's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Max 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
June 29, 2021 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 400 S. Hope Street 20th Floor, Los Angeles, CA 90071RIA
BD
CRD#: 6247
Los Angeles, CA
Current
June 29, 2021 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 400 S. Hope Street 20th Floor, Los Angeles, CA 90071RIA
BD
CRD#: 6247
Los Angeles, CA
Past
November 20, 2018 - February 9, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LOS ANGELES, CA
Past
November 20, 2018 - February 9, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LOS ANGELES, CA
Past
March 20, 2017 - November 27, 2018
TD AMERITRADE, INC.
RIA
CRD#: 7870
PASADENA, CA
Past
March 20, 2017 - November 27, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Pasadena, CA
Past
March 20, 2017 - November 27, 2018
TD AMERITRADE, INC.
BD
CRD#: 7870
PASADENA, CA
Past
August 19, 2015 - February 16, 2017
GRIFFINEST ASIA SECURITIES, LLC
BD
CRD#: 132187
PASADENA, 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".
CAPITAL CLIENT GROUP, INC.
AMERICAN FUNDS DISTRIBUTORS, INC. | CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
RIA
Registered Investment Advisory firm - SEC (4/25/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles 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(6/29/2021)
IAR
California(6/29/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CAPITAL CLIENT GROUP, INC.
AMERICAN FUNDS DISTRIBUTORS, INC. | CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
RIA
Registered Investment Advisory firm - SEC (4/25/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
333 S. Hope St. 55th Fl. 55th Floor, Los Angeles, CA 90071-1406
Mailing Address
333 S. Hope St. 55th Fl., Los Angeles, CA 90071
Phone number
(213) 486-9200
Established
California since 05/09/1972
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
911
SEC notice filing (15 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
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.
