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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

Tony B. Wu

Advisor at J.P. MORGAN SECURITIES LLC

SEATTLE, WA

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Search this name across graphsid dfx:ria:b41e2dcd-fd3b-03ab-c801-516ec983a510

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 12, 2000 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: J.P. MORGAN SECURITIES LLC
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 21, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Dec 21, 1998
First registration: Jun 12, 2000
Dual registered: yes, broker-dealer
Other names: TUNG BIN WU|TONY WU|TONY B WU
IAPD individual key: 3080450

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
J.P. MORGAN SECURITIES LLC	Wirehouse	Apr 21, 2021	n/a	yes	SEATTLE, WA\|SEATTLE, WA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 21, 2015	Apr 16, 2021	no	SEATTLE, WA\|SEATTLE, WA\|SEATTLE, WA\|SEATTLE, WA\|SEATTLE, WA\|SEATTLE, WA\|SEATTLE, WA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Aug 28, 2012	Aug 27, 2014	no	BELLEVUE, WA\|SEATTLE, WA	Previous registration
WADDELL & REED	Former SEC adviser	May 30, 2012	Jun 12, 2012	no	SEATTLE, WA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 2, 2003	Apr 11, 2003	no	KENT, WA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 12, 2000	Jun 13, 2002	no	SEATTLE, WA	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Apr 16, 2021	Apr 21, 2021	5	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 27, 2014	Aug 21, 2015	359	Firm change	Wirehouse to wirehouse
WADDELL & REED	WELLS FARGO ADVISORS	Jun 12, 2012	Aug 28, 2012	77	Firm change	Other
CHARLES SCHWAB & CO., INC.	WADDELL & REED	Apr 11, 2003	May 30, 2012	3,337	Firm change after gap	Other
UBS FINANCIAL SERVICES INC.	CHARLES SCHWAB & CO., INC.	Jun 13, 2002	Jan 2, 2003	203	Firm change	Wirehouse to ibd

Team moves

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

Team	Left	Joined	From	Kind
7691:79:WA:2021-04-13	Apr 16, 2021	Apr 21, 2021	SEATTLE, WA	Firm change

Relationships

Registered with (6)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Apr 21, 2021 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 21, 2015 to Apr 16, 2021factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 28, 2012 to Aug 27, 2014factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
May 30, 2012 to Jun 12, 2012factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jan 2, 2003 to Apr 11, 2003factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 12, 2000 to Jun 13, 2002factForm ADV

Dated events

No dated event names this entity yet.