Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Wu is a registered representative with Needham & Company, LLC, a broker-dealer firm based in New York City. James has been in the industry for over 2 years. James holds the Series 79TO, Series 63, and SIE exams. James is registered with the states of California, Illinois, Massachusetts, Minnesota, and New York.
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.
Securities research
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.
Pursuant to csa agreements
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NY
02/02/2022 - Present
Needham & Company, LLC (NEW YORK NY)
BC
Issued 03/05/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/01/2022
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 05/01/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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