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LW

Leon S. Wu

EMPIRE INVESTMENT
Flushing, NY 11354
Some features on this profile are disabled
CRD#: 6529899
LW

Professional summary

Leon Sun Wu is a registered financial professional currently at EMPIRE INVESTMENT INC. located in Flushing, New York.

Leon is registered as a RR (Registered Representative) and started their career in finance in 2017. Leon has worked at 1 firm and has passed the Series 66, SIE, Series 7, Series 4 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Leon Sun Wu's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 1, 2017 - Present

EMPIRE INVESTMENT INC.

Office #1: 136-20 38th Ave. Suite 9e, Flushing, NY 11354
BD
CRD#: 16763
Flushing, NY

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
California
(1/27/2025)
RR
New Jersey
(1/25/2025)
RR
New York
(1/28/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/25/2025
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/1/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/21/2025
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/28/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EI
EMPIRE INVESTMENT INC.
EMPIRE INVESTMENT INC.

CRD#: 16763 / SEC#: , 8-33594

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
136-20 38th Ave. Suite 9e, Flushing, NY 11354
Mailing Address
136-20 38th Ave. Suite 9e, Flushing, NY 11354
Phone number
(718) 445-2313
Established
New York since 10/31/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WU, LEON SUNPRESIDENT/ CHIEF COMPLIANCE OFFICER6529899

Disclosures

Regulatory Event4

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.

Company Information

EMPIRE INVESTMENT INC.

CRD#: 16763Flushing, NY 11354

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