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NW

Nicholas H. Wu

NICK WU FINANCIAL PLANNING LLC
Napa, CA
Some features on this profile are disabled
CRD#: 7666380
NW

Professional summary

Nicholas Hsiang Wu, who also goes by Nick Wu, is a registered financial advisor currently at NICK WU FINANCIAL PLANNING LLC located in Napa, California.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Nicholas has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nick Wu

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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. GILEAD SCIENCES, INC. POSITION: Associate Tax Director NATURE: Biopharmaceutical INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 4 START DATE: 05/07/2018 ADDRESS: 333 Lakeside Drive, Foster City CA 94404, United States DESCRIPTION: Manage the global corporate tax liability NICK WU CPA POSITION: Owner NATURE: Tax & Business Services INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2022 ADDRESS: 865 Erin Way, Napa CA 94559, United States DESCRIPTION: Assist clients with tax and business-related matters UNIVERSITY OF CALIFORNIA - IRVINE POSITION: Unit 18 Lecturer NATURE: Education INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 401 E Peltason Dr, Suite 1000, Irvine CA 92697, United States DESCRIPTION: Teach a class

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Hsiang Wu's 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

January 4, 2024 - Present

NICK WU FINANCIAL PLANNING LLC

RIA
CRD#: 327496
Napa, CA
Past

February 9, 2023 - May 26, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
San Jose, CA
Past

January 26, 2023 - May 26, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
San Jose, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(1/4/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/9/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/26/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/15/2022
Securities Industry Essentials Examination

Current Firm

NW
NICK WU FINANCIAL PLANNING LLC
NICK WU FINANCIAL PLANNING LLC

CRD#: 327496 / SEC#:

California
Registered Investment Advisory firm - (1/1/2024 Approved)
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Contact information

Main Address
Napa, CA
Mailing Address
Phone number
(408) 504-0751
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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

NICK WU FINANCIAL PLANNING LLC

CRD#: 327496Napa, CA

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