PW
PW
Ping Wu
18 Years of Experience
Arcadia, CA
1 DisclosureBroker
Ping Wu is a registered investment advisor at Cetera Investment Advisers LLC, based in Arcadia, CA, with 18 years of industry experience. Ping operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
Loading...
Location
200 E Duarte, Arcadia, CA, 91006
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2024Denied
Employment History
Current Registrations
Cetera Investment Advisers LLC
January 2014 - Present · 12 yrs 4 mos
Cetera Investment Services LLCBroker
September 2013 - Present · 12 yrs 8 mos
Previous Registrations
Cetera Investment Services LLC
September 2013 - January 2014 · 4 mos
UBS Financial Services INC.Broker
January 2010 - April 2013 · 3 yrs 3 mos
UBS Financial Services INC.
January 2010 - April 2013 · 3 yrs 3 mos
UBS International INC.
August 2009 - January 2010 · 5 mos
UBS International INC.Broker
April 2009 - January 2010 · 9 mos
Ucb Investment Services, INC.Broker
June 2007 - April 2009 · 1 yr 10 mos
Genesis Securities, LLCBroker
November 2006 - June 2007 · 7 mos
State Registrations5 states
CAFLNVNYWA
AdvisorBrokerBoth
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
No exam information available for this advisor.