Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brook? Claim Your ProfileBrook J. Wu is a financial professional with over 10 years of experience in the industry. Brook is currently registered with Ares Management Capital Markets LLC and Ares Wealth Management Solutions, LLC. Brook has a wide range of experience in the financial services industry, including investment banking, securities trading, and wealth management. Brook holds a Series 3, 7, 79, 63, and 30 licenses. Brook is dedicated to providing their clients with the highest quality financial advice and services.
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.
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.
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2
CA
03/12/2024 - Present
Ares Management Capital Markets LLC (LOS ANGELES CA)
CA
06/04/2018 - 08/22/2023
FORESIDE FUND SERVICES, LLC (San Francisco CA)
NY
12/11/2012 - 03/27/2018
BLACKSTONE ADVISORY PARTNERS L.P. (NEW YORK NY)
BC
Issued 05/13/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/17/2022
Series 30 - NFA Branch Manager Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/2014
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 12/10/2012
Series 7 - General Securities Representative Examination
BC
Issued 11/26/2012
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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