Frank Wu is a registered investment advisor at Wells Fargo Advisors, based in Irvine, CA, with 39 years of industry experience. Frank is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
5 Park Plz 19th & 20th Fls, Irvine, CA, 92614
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Regulatory History (1)
Customer Dispute
August 2008Other Business Activities
Frank works as an arbitrator for dispute resolution, starting in 2006. This requires minimal time and is not investment-related.
Employment History
Current Registrations
Wells Fargo Advisors
Wells Fargo Clearing Services, LLCBroker
Previous Registrations
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Lehman Brothers INC.Broker
Baraban Securities, INC.Broker
State Registrations28 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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