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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alexander? Claim Your ProfileAlexander Yuqing Lu is a registered investment advisor representative associated with Merrill Lynch, Pierce, Fenner & Smith Inc. Alexander Lu has been in the securities industry since August 31, 2015 and has a total of 26 state registrations. Alexander Lu's registrations include the Series 7 and Series 66 securities licenses as well as the SIE exam. Alexander Lu is currently registered in 26 states including Arizona, California, Colorado, Delaware, Florida, Georgia, Idaho, Kansas, Louisiana, Massachusetts, Michigan, Montana, Nevada, New Jersey, New Mexico, New York, Ohio, Oregon, Pennsylvania, Texas, Utah, Virginia, Washington and Wisconsin. The firm's main office is located in New York, New York. Merrill Lynch, Pierce, Fenner & Smith Inc. manages approximately $1.3 trillion in assets for a variety of client types including individuals, corporations and other businesses, pension and profit-sharing plans, charitable organizations, insurance companies, and state or municipal government entities. The firm's advisory services include portfolio management for individuals and businesses, pension consulting, and educational seminars.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AZ
09/07/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SCOTTSDALE AZ)
BOTH
Issued 01/11/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/2015
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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