Ray H. 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.
Ray Heng Wu, who also goes by Ray Wu, was a registered financial professional .
Ray is a previously registered financial professional and started their career in finance in 2022. Ray had worked at 1 firm and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2022 - May 23, 2025
M SHARE CAPITAL 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 11/18/2021
General Securities Representative ExaminationCurrent Firm
M SHARE CAPITAL LLC
CRD#: 317613 / SEC#: , 8-70828
Contact information
Documents
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.
