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EW

Erica S. Wu

Some features on this profile are disabled
CRD#: 4846938
EW

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Erica S Wu, who also goes by Erica Shu Yin Wu, Erica Shu-yin Wu, Erica Wu, was a registered financial professional .

Erica is a previously registered financial professional and started their career in finance in 2005. Erica had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Erica Shu Yin Wu | Erica Shu-Yin Wu | Erica Wu

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1)NAME: BEACON POINTE INSURANCE SERVICES, LLC.; LOCATED:920 HILLVIEW COURT, #160, MILPITAS,CA 95035; INVESTMENT-RELATED: NO; NATURE OF BUSINESS: INSURANCE AGENT; TITLE: LICENSED INSURANCE AGENT; START DATE: 10/2/2017; HOURS PER MONTH: APPROXIMATELY 5 HOURS PER MONTH ALL DURING TRADING HOURS; DUTIES: SALE OF INSURANCE PRODUCTS (LIFE AND/OR ACCIDENT/HEALTH INSURANCE). (2)RENTAL PROPERTY POSITION: LANDLORD NATURE: RENTAL; INVESTMENT-RELATED: NO; NUMBER OF HOURS: 0; START DATE: 09/05/2012; ADDRESS: 147 CHECKERS DR, SAN JOSE CA 95116 DESCRIPTION: I HIRE AGENT TO TAKE CARE OF ALL ISSUES/BUSINESS FOR ME FOR THE PROPERTY. (3)RENTAL PROPERTY POSITION: OWNER; NATURE: RENTING; INVESTMENT-RELATED: NO; NUMBER OF HOURS: 0; START DATE: 04/01/2015; ADDRESS: 1789 MINAS DE ORO, SAN JOSE CA 95116; DESCRIPTION: NONE. I EMPLOYEE A PROPERTY MANAGER TO TAKE CARE OF THE UNIT FOR ME.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 7, 2018 - April 27, 2020

BEACON POINTE WEALTH ADVISORS, LLC

RIA
CRD#: 151328
CAMPBELL, CA
Past

February 7, 2018 - January 28, 2025

BEACON POINTE ADVISORS, LLC

RIA
CRD#: 119290
CAMPBELL, CA
Past

April 21, 2016 - August 30, 2017

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
CUPERTINO, CA
Past

April 21, 2016 - August 30, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CUPERTINO, CA
Past

December 19, 2007 - April 19, 2016

TD AMERITRADE, INC.

RIA
CRD#: 7870
CUPERTINO, CA
Past

December 19, 2007 - April 19, 2016

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
CUPERTINO, CA
Past

December 19, 2007 - April 19, 2016

TD AMERITRADE, INC.

BD
CRD#: 7870
CUPERTINO, CA
Past

November 15, 2006 - December 18, 2007

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
CUPERTINO, CA
Past

October 16, 2006 - October 28, 2006

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
CUPERTINO, CA
Past

August 13, 2005 - October 28, 2006

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
CUPERTINO, CA
Past

March 31, 2005 - August 5, 2005

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

January 7, 2005 - January 27, 2005

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/14/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/4/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/30/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/6/2005
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BP
BEACON POINTE WEALTH ADVISORS, LLC
BEACON POINTE WEALTH ADVISORS, LLC

CRD#: 151328 / SEC#: 801-70550

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Contact information

Main Address
24 Corporate Plaza Drive Suite 150, Newport Beach, CA 92660
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

BEACON POINTE WEALTH ADVISORS, LLC FORM ADV PART 2 (3/30/2020)

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BEACON POINTE WEALTH ADVISORS, LLC

CRD#: 151328

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