Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chi? Claim Your ProfileChi Fang Wu is an active investment advisor representative with UBS Financial Services Inc. Chi has been in the securities industry since July 26, 2000. Chi has been registered with UBS Financial Services Inc. since March 28, 2016. Prior to that, Chi worked at Morgan Stanley and Citigroup Global Markets Inc. Chi is licensed to provide investment advice in California. Chi has passed the Series 7, Series 10, Series 23, Series 24, Series 31 and the SIE examinations. Chi holds a Series 66 license.
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.
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.
See schedule d - miscellaneous
1
2
CA
03/28/2016 - Present
UBS Financial Services Inc. (WALNUT CREEK CA)
CA
06/01/2009 - 04/11/2016
MORGAN STANLEY (WALNUT CREEK CA)
CA
07/05/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAN JOSE CA)
CA
10/17/2003 - 06/26/2006
LORING WARD SECURITIES INC. (SAN JOSE CA)
NY
07/18/2000 - 10/24/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BOTH
Issued 10/16/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 06/01/2005
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 08/23/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/19/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 07/17/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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