Nicholas 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.
Nicholas Hsiang Wu, who also goes by Nick Wu, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2023. Nicholas had worked at 2 firms and has passed the Series 66, Series 7TO 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
January 4, 2024 - December 31, 2025
NICK WU FINANCIAL PLANNING LLC
February 9, 2023 - May 26, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 26, 2023 - May 26, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 1/26/2023
General Securities Representative ExaminationCurrent Firm
NICK WU FINANCIAL PLANNING LLC
CRD#: 327496 / SEC#:
Contact information
Red Flags
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