Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Judy? Claim Your ProfileJudy Ai Wu is a financial professional with over 20 years of experience in the industry. Judy is currently registered with Cetera Investment Services LLC, a firm with a national reach. Judy’s professional experience includes working with LPL Financial LLC and UVEST Financial Services Group, Inc. Judy is licensed to sell securities in California and holds a Series 6, SIE, and Series 63 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.
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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CA
03/11/2013 - Present
Cetera Investment Services LLC (DIAMOND BAR CA)
CA
10/11/2011 - 02/06/2013
LPL FINANCIAL LLC (DIAMOND BAR CA)
CA
07/15/2005 - 10/11/2011
UVEST FINANCIAL SERVICES GROUP, INC. (DIAMOND BAR CA)
NY
01/01/2004 - 07/26/2005
IFMG SECURITIES, INC. (PURCHASE NY)
BC
Issued 10/11/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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