Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shu? Claim Your ProfileShu Wu is an active financial advisor with Morgan Stanley. Shu Wu is also an active Investment Advisor Representative. Shu Wu has been in the industry since December 8, 2003. Shu Wu has previously worked for Morgan Stanley & Co. LLC, Morgan Stanley Distribution, Inc., Citigroup Global Markets Inc., First Manhattan Co, Capitol Securities Management, Inc., Northeast Securities, Inc., M.J. Whitman LLC and M. J. Whitman, Inc. Shu Wu is licensed in 45 states including New York, Texas, Alabama, Alaska, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, North Carolina, Ohio, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, Tennessee, Utah, Vermont, Virgin Islands, Virginia, Washington, and Wisconsin.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
06/01/2022 - Present
Morgan Stanley (New York NY)
NY
08/08/2019 - 11/18/2021
MORGAN STANLEY & CO. LLC (NEW YORK NY)
NY
07/05/2018 - 08/08/2019
MORGAN STANLEY DISTRIBUTION, INC. (NEW YORK NY)
NY
03/19/2018 - 07/03/2018
CITIGROUP GLOBAL MARKETS INC. (Long Island City NY)
NY
09/14/2016 - 03/30/2017
FIRST MANHATTAN CO (NEW YORK NY)
NY
09/11/2014 - 09/09/2016
CAPITOL SECURITIES MANAGEMENT, INC. (Brooklyn NY)
NY
07/08/2010 - 09/11/2014
NORTHEAST SECURITIES, INC. (MITCHELFIELD NY)
NY
03/12/2003 - 07/08/2010
M.J. WHITMAN LLC (SARATOGA SPRINGS NY)
NY
01/08/2002 - 04/03/2002
M. J. WHITMAN, INC. (NEW YORK NY)
IA
Issued 01/07/2022
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 12/23/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/20/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/07/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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