Sisi Wu is a registered investment advisor, based in Diamond Bar, CA, with 8 years of industry experience.
Location
2783 S Diamond Bar Blvd, Diamond Bar, CA, 91765
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cetera Investment Services LLCBroker
August 2022 - Present · 3 yrs 9 mos
Cetera Investment Advisers LLC
August 2022 - Present · 3 yrs 9 mos
Previous Registrations
J.P. Morgan Securities LLC
January 2020 - July 2022 · 2 yrs 6 mos
J.P. Morgan Securities LLCBroker
January 2020 - July 2022 · 2 yrs 6 mos
Hsbc Securities (USA) INC.
November 2017 - December 2019 · 2 yrs 1 mo
Hsbc Securities (USA) INC.Broker
November 2017 - December 2019 · 2 yrs 1 mo
AXA Advisors, LLC
July 2017 - October 2017 · 3 mos
AXA Advisors, LLCBroker
April 2017 - October 2017 · 6 mos
State Registrations3 states
CANVNY
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.