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Investment Adviser Representative Summary

TERRY XING-ZHAO WU (CRD# 5049038)
Alternate Names: XING-ZHAO WU

The report summary provides an overview of the Investment Adviser Representative's professional background and conduct. The information contained in this report has been provided by the Investment Adviser Representative, investment adviser and/or securities firms, and/or securities regulators as part of the states' investment adviser registration and licensing process. The information contained in this report was last updated by the Investment Adviser Representative, a previous employing firm, or a securities regulator on 10/11/2018.

CURRENT EMPLOYERS

TD ADVISORY GROUP
IARD# 285730
2409 25TH AVE,
SUITE 100
SAN FRANCISCO, CA  94116
Registered with this firm since: 05/04/2017


QUALIFICATIONS


This Investment Adviser Representative is currently registered in 1 jurisdiction(s).

Is this Investment Adviser Representative currently suspended with any jurisdiction? No

Note: Not all jurisdictions require IAR registration or may have an exemption from registration.
Additional information including this individual's qualification examinations and professional designations is available in the Detailed Report.

REGISTRATION HISTORY


This Investment Adviser Representative was previously registered with the following Investment Adviser firms:

FIRM (IARD#) - LOCATION REGISTRATION DATES
USA FINANCIAL SECURITIES CORPORATION (IARD# 103857) -  San Francisco, CA
04/04/2016 - 11/01/2016
THRIVENT INVESTMENT MANAGEMENT INC. (IARD# 18387) -  SAN MATEO, CA
12/12/2005 - 02/12/2016
For additional registration and employment history details as reported by the individual, refer to the Registration and Employment History section of the Detailed Report.

DISCLOSURE INFORMATION


Disclosure events include certain criminal charges and convictions, formal investigations and disciplinary actions initiated by regulators, customer disputes and arbitrations, and financial disclosures such as bankruptcies and unpaid judgments or liens.
Are there events disclosed about this Investment Adviser Representative? Yes
The following types of events are disclosed about this Investment Adviser Representative:

Type Count
Regulatory Event 2
Customer Dispute 1
Termination 2

BROKER DEALER INFORMATION


This individual currently is registered as an investment adviser representative and previously was registered as a broker. For more information about this individual's record as a broker, visit FINRA's BrokerCheck website at: http://www.finra.org/brokercheck