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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Di Wu

Advisor at J.P. MORGAN SECURITIES LLC

EL CERRITO, 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:b759ef49-3f00-e49c-a0e2-d99f51b3dcde

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 23, 2018 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: Sep 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Apr 20, 2018
First registration: Apr 23, 2018
Dual registered: yes, broker-dealer
IAPD individual key: 6901486

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	Feb 6, 2024	n/a	yes	EL CERRITO, CA	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 21, 2021	Feb 14, 2024	no	CONCORD, CA\|LAFAYETTE, CA\|WALNUT CREEK, CA\|WALNUT CREEK, CA\|MORAGA, CA	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	May 12, 2020	Mar 25, 2021	no	San Francisco, CA\|ARLINGTON, VA\|San Francisco, CA	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Jul 15, 2019	May 8, 2020	no	OAKLAND, CA\|Concord, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 23, 2018	May 16, 2019	no	SAN LEANDRO, CA\|SAN FRANCISCO, CA\|LIVERMORE, 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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Feb 14, 2024	Feb 6, 2024	-8	Firm change	Wirehouse to wirehouse
E*TRADE CAPITAL MANAGEMENT, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 25, 2021	Apr 21, 2021	27	Firm change	RIA to wirehouse
HSBC SECURITIES (USA) INC.	E*TRADE CAPITAL MANAGEMENT, LLC	May 8, 2020	May 12, 2020	4	Firm change	Ibd to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	HSBC SECURITIES (USA) INC.	May 16, 2019	Jul 15, 2019	60	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:CA:2024-02-08	Feb 14, 2024	Feb 6, 2024	MORAGA, CA	Firm change

Relationships

Registered with (4)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Feb 6, 2024 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 21, 2021 to Feb 14, 2024factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 12, 2020 to Mar 25, 2021factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Jul 15, 2019 to May 8, 2020factForm ADV

Dated events

Occurred
Feb 14, 2024
Advisor changed firm
Di Wu left Merrill Lynch, Pierce, Fenner & Smith Incorporated for J.P. Morgan Securities Llc (registered 2024-02-06)
Form ADVobserved 4 days ago