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Detailed Report
ERICA WENJUN WU
ERICA WU, WENJUN WU
CRD#: 6621498
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 50 W FERNANDO ST. 15TH FL, STE 1500
[LK/NH-RBO]
SAN JOSE, CA 95113
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - 2017 (<1 year)2 FIRMS2017 - 2017 (<1 year)2 FIRMS2017 - 2019 (1 year)2 FIRMS2019 - 2022 (3 years)2 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
California 11/22/2022
B
Oregon 7/30/2024
IA
California 11/22/2022
B
Washington 5/1/2024
B
Delaware 11/22/2022

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
50 W FERNANDO ST. 15TH FL, STE 1500 [LK/NH-RBO], SAN JOSE, CA 95113
Registered with this firm since 11/22/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
50 W FERNANDO ST. 15TH FL, STE 1500 [LK/NH-RBO], SAN JOSE, CA 95113
Registered with this firm since 11/22/2022
Previous Registration(s)
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IA
 05/20/2019 - 11/02/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) LOS ALTOS, CA
B
 05/20/2019 - 11/02/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) LOS ALTOS, CA
IA
 09/25/2017 - 04/16/2019 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) MILPITAS, CA
B
 09/25/2017 - 04/16/2019 CETERA INVESTMENT SERVICES LLC (CRD#:15340) MILLBRAE, CA
IA
 03/01/2017 - 09/25/2017 LPL FINANCIAL LLC (CRD#:6413) EL MONTE, CA
B
 02/28/2017 - 09/25/2017 LPL FINANCIAL LLC (CRD#:6413) EL MONTE, CA
IA
 11/10/2016 - 02/28/2017 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) EL MONTE, CA
B
 05/24/2016 - 02/28/2017 CETERA INVESTMENT SERVICES LLC (CRD#:15340) EL MONTE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.