Shuxin 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.
Shuxin Wu, who also goes by Michelle Wu, was a registered financial professional .
Shuxin is a previously registered financial professional and started their career in finance in 2021. Shuxin had worked at 2 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2024 - May 19, 2026
MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC
January 4, 2021 - May 19, 2026
JOHN HANCOCK PERSONAL FINANCIAL SERVICES, 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
Exams
Series 7TO
Date: 2/5/2026
General Securities Representative ExaminationSeries 6TO
Date: 3/11/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC
CRD#: 150842 / SEC#: , 8-68303
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
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.
