David 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.
David Wu was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1981. David had worked at 5 firms and has passed the Series 63, Series 87, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2005 - February 6, 2009
GLOBAL CROWN CAPITAL, LLC
August 26, 2002 - December 31, 2004
WEDBUSH SECURITIES INC.
October 22, 1999 - June 1, 2001
ABN AMRO INCORPORATED
April 29, 1986 - August 9, 1995
S.G. WARBURG & CO. INC.
March 23, 1981 - January 20, 1986
MONTGOMERY SECURITIES
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
Current Firm
GLOBAL CROWN CAPITAL, LLC
CRD#: 16761 / SEC#: , 8-34480
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
| Judgment/Lien | 1 |
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.
