Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Wu has been a registered representative in the financial services industry since January 12, 2006. Currently, Nicholas is employed with Franklin Distributors, LLC in New York, NY. Nicholas has passed the Series 7, 86, 87, and SIE exams. Nicholas has also passed the Series 63 exam and is licensed in California and New York. Prior to his current role, Nicholas was employed with Bear, Stearns & Co. Inc. in New York, NY.
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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2
NY
07/13/2007 - Present
Franklin Distributors, LLC (NEW YORK NY)
NY
01/11/2006 - 07/11/2007
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BC
Issued 01/17/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/06/2006
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 02/27/2006
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 01/10/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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