Nick L Wu

CRD 2385149 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Oklahoma City, OK

IA RegisteredBroker

Also appears in the source record as: Li Wu; Nick Li Wu

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 7Series 6
Registered states (8): California · Florida · North Carolina · Oklahoma · Texas · Virginia · Washington · Wisconsin
Years in the industry (source record): 33
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2385149 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Oklahoma City, OK · IA capacity

Sep 5, 2007 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Oklahoma City, OK · BC capacity

start not retrieved → present
Wachovia Securities, LLC
IA capacity

Sep 14, 2004 → Sep 6, 2007
Wachovia Securities, LLC
BD capacity

Sep 10, 2004 → Sep 6, 2007
Cambridge Investment Reserarch, Inc.
IA capacity

Oct 17, 2003 → Oct 5, 2004
Cambridge Investment Research, Inc.
BD capacity

Oct 15, 2003 → Oct 5, 2004
Axa Advisors, LLC
IA capacity

Dec 8, 1999 → Nov 5, 2003
Axa Advisors, LLC
BD capacity

Sep 22, 1993 → Nov 5, 2003
The Equitable Life Assurance Society Of The United States
BD capacity

Sep 22, 1993 → Jan 5, 2000

Source & corrections

Where this page comes from

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