Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wen? Claim Your ProfileWen Shan Wu is a financial advisor with over 20 years of experience in the industry. Wen has held previous roles at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc., and AXA Advisors, LLC. Wen is currently registered with Morgan Stanley and is licensed to provide investment advice in California, Florida, Massachusetts, North Carolina, Oregon, and Washington. Wen holds the Series 66, Series 7 and SIE exams. Wen specializes in providing investment advice to a range of clients, including individuals, families, businesses, and institutions.
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
CA
02/24/2023 - Present
Morgan Stanley (Menlo Park CA)
CA
01/04/2008 - 02/28/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN MATEO CA)
CA
05/29/2007 - 01/24/2008
CITIGROUP GLOBAL MARKETS INC. (MILLBRAE CA)
CA
03/12/2004 - 05/29/2007
CITICORP INVESTMENT SERVICES (MILLBRAE CA)
NY
04/12/2002 - 05/08/2003
AXA ADVISORS, LLC (NEW YORK NY)
BOTH
Issued 04/25/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/2002
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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