Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Austin? Claim Your ProfileAustin Wu is a financial advisor who has been active in the industry since 2022. Austin is registered with Raymond James & Associates, Inc. and is licensed to provide financial advice in 51 states and the District of Columbia. Austin has a broad range of experience in providing financial planning, portfolio management, and other advisory services to individual clients, businesses, and institutional clients. Austin has passed several exams including the Series 3, 7TO, 9, 10, 24, 66, and SIE examinations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
02/24/2023 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
BOTH
Issued 02/16/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/04/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/03/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/01/2022
Series 4 - Registered Options Principal Examination
BC
Issued 09/16/2022
Series 24 - General Securities Principal Examination
BC
Issued 12/15/2022
Series 3 - National Commodity Futures Examination
BC
Issued 07/08/2022
Series 7TO - General Securities Representative Examination
BC
Issued 01/16/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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