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FW

Fansheng Wu

GRIFFINEST ASIA SECURITIES
PASADENA, CA 91101
Some features on this profile are disabled
CRD#: 7433241
FW

Professional summary

Fansheng Wu is a registered financial professional currently at GRIFFINEST ASIA SECURITIES, LLC located in Pasadena, California.

Fansheng is registered as a RR (Registered Representative) and started their career in finance in 2021. Fansheng has worked at 1 firm and has passed the Series 66, Series 7TO and SIE 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 Fansheng 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

December 13, 2021 - Present

GRIFFINEST ASIA SECURITIES, LLC

Office #1: 301 North Lake Avenue Suite 110, Pasadena, CA 91101
BD
CRD#: 132187
PASADENA, CA

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
(11/16/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/15/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/11/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/21/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

GA
GRIFFINEST ASIA SECURITIES, LLC
FUBON SECURITIES USA, LLC | GRIFFINEST ASIA SECURITIES, LLC

CRD#: 132187 / SEC#: , 8-66571

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
301 North Lake Avenue Suite 110, Pasadena, CA 91101
Mailing Address
301 North Lake Avenue Suite 110, Pasadena, CA 91101
Phone number
(626) 792-1388
Established
California since 03/23/2004
Firm type
Limited Liability Company
Fiscal year end
March
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#
GRIFFINEST ASIA CAPITAL, INC.MEMBER
LI, CHUNG PINGGSP, SENIOR MANAGER4575230
LIN, VICTOR HUANG-CHIANGCEO, GSP4351482
TAI, KATIE SCCO, FINOP4229635
WANG, XINYIGSP, RESEARCH PRINCIPAL6268504

Disclosures

Regulatory Event1

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

GRIFFINEST ASIA SECURITIES, LLC

CRD#: 132187Pasadena, CA 91101

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