Yang Wu
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Yang Wu was a registered financial professional .
Yang is a previously registered financial professional and started their career in finance in 2016. Yang had worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 79TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2022 - January 2, 2026
ARGO INFRASTRUCTURE PARTNERS LP
August 9, 2018 - October 1, 2021
HSBC SECURITIES (USA) INC.
September 20, 2016 - May 23, 2018
NOMURA GREENTECH CAPITAL ADVISORS, LLC
Primary Firm SEC Registration
ARGO INFRASTRUCTURE PARTNERS LP
CRD#: 171246 / SEC#: 801-80796
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/28/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/28/2024
Investment Banking Registered Representative ExaminationCurrent Firm
ARGO INFRASTRUCTURE PARTNERS LP
CRD#: 171246 / SEC#: 801-80796
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 6,228,185,566 |
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.
