Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Wu is a financial professional with over 30 years of experience in the industry. Frank is registered with Wells Fargo Clearing Services, LLC and holds Series 7, Series 31, Series 63, and Series 65 licenses, as well as the SIE exam. Frank has previously worked with Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Lehman Brothers Inc. and Baraban Securities, Inc. Frank specializes in providing financial planning and investment consulting services to institutional and individual clients. Frank is also a FINRA arbitrator.
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.
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.
Investment consulting services to institutional clients
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
CA
02/06/2013 - Present
Wells Fargo Clearing Services, LLC (IRVINE CA)
CA
06/01/2009 - 11/12/2010
MORGAN STANLEY SMITH BARNEY (LAGUNA NIGUEL CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LAGUNA NIGUEL CA)
NY
05/04/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
CA
04/29/1987 - 04/28/1992
BARABAN SECURITIES, INC. (LOS ANGELES CA)
BC
Issued 07/02/1992
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/16/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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