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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

Shujun Wu

Advisor at UBS FINANCIAL SERVICES INC.

Pasadena, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1a5efa40-c875-31e7-857a-6edc73731ecd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 12, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 12, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 14, 2025
First registration: Dec 12, 2002
Dual registered: yes, broker-dealer
Other names: SHUJUN WU|MICHAEL SHUJUN WU|MICHAEL SHUJUN WU|SHUJUN WU|MICHAEL WU
IAPD individual key: 4604265

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Apr 25, 2025	n/a	yes	Pasadena, CA	Current employment
MORGAN STANLEY	Wirehouse	Nov 10, 2015	Apr 25, 2019	no	Pasadena, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 10, 2003	Nov 11, 2015	no	NEWPORT BEACH, CA\|PASADENA, CA\|PASADENA, CA\|NEWPORT BEACH, CA\|CITY OF INDUSTRY, CA\|PASADENA, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 12, 2002	Dec 4, 2003	no	IRVINE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Apr 25, 2019	Apr 25, 2025	2,192	Firm change after gap	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Nov 11, 2015	Nov 10, 2015	-1	Firm change	Wirehouse to wirehouse
AMERIPRISE FINANCIAL SERVICES, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 4, 2003	Dec 10, 2003	6	Firm change	Ibd to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:149777:CA:2015-11-11	Nov 11, 2015	Nov 10, 2015	PASADENA, CA	Firm change

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Apr 25, 2025 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Nov 10, 2015 to Apr 25, 2019factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 10, 2003 to Nov 11, 2015factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Dec 12, 2002 to Dec 4, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1a5efa40-c875-31e7-857a-6edc73731ecd
First observed: Dec 12, 2002
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Shujun Wu

Advisor at UBS FINANCIAL SERVICES INC.

Pasadena, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1a5efa40-c875-31e7-857a-6edc73731ecd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:22 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

UBS FINANCIAL SERVICES INC.

Wirehouse

Apr 25, 2025

n/a

yes

Pasadena, CA

Current employment

MORGAN STANLEY

Wirehouse

Nov 10, 2015

Apr 25, 2019

Pasadena, CA

Previous registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Dec 10, 2003

Nov 11, 2015

Previous registration

AMERIPRISE FINANCIAL SERVICES, LLC

National bd RIA

Dec 12, 2002

Dec 4, 2003

IRVINE, CA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

MORGAN STANLEY

UBS FINANCIAL SERVICES INC.

Apr 25, 2019

Apr 25, 2025

2,192

Firm change after gap

Wirehouse to wirehouse

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

Nov 11, 2015

Nov 10, 2015

-1

Firm change

Wirehouse to wirehouse

AMERIPRISE FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Dec 4, 2003

Dec 10, 2003

Firm change

Ibd to wirehouse

Team

Left

Joined

From

Kind

7691:149777:CA:2015-11-11

Nov 11, 2015

Nov 10, 2015

PASADENA, CA

Firm change