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Nancy Hsuan Wu

Cowen AND Co.

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About Nancy Hsuan Wu

Nancy Hsuan Wu is a financial professional with over 25 years of experience in the industry. Nancy currently holds a Series 7, Series 79, Series 63 and SIE licenses. Nancy is currently registered with Cowen And Co., a leading investment bank and financial services company. Prior to joining Cowen And Co., Nancy worked for several other firms, including Ramius Securities LLC, Prudential Securities Incorporated and Wasserstein Perella Securities, Inc. Nancy is a valuable resource for investors seeking to navigate the complexities of the financial markets.

Firm Information

Nancy Wu is currently registered with Cowen AND Co.. Cowen AND Co. is a Limited Liability Company that was formed on January 15, 2004. The firm is registered in 53 states and the SEC and offers advisory services. Cowen AND Co. has been involved in 46 regulatory events and 8 arbitration cases.

Not reported

Assets Under Management

Not reported

Total Clients

142

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Nancy Wu’s Registration & Firm History

NY

11/05/2012 - Present

Cowen AND Co. (NEW YORK NY)

NY

01/26/2010 - 09/14/2012

COWEN AND COMPANY (NEW YORK NY)

NY

07/13/2000 - 12/31/2009

RAMIUS SECURITIES LLC (NEW YORK NY)

NY

12/16/1999 - 06/29/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

11/15/1996 - 11/10/1999

WASSERSTEIN PERELLA SECURITIES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/12/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/14/2010

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 11/14/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Nancy Hsuan Wu.
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