Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Hu is an investment advisor representative with LPL Financial LLC, registered in 53 states and 3 jurisdictions. Brian has been in the securities industry since November 21, 2009. Brian has passed a total of 9 exams including Series 66, Series 4, Series 53, Series 24, Series 52TO, Series 3, SIE, and Series 7. Brian has a history of previous employment at CETERA INVESTMENT SERVICES LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, SCOTTRADE, INC. and CORE PACIFIC SECURITIES USA LLC. Brian Hu also provides consulting and other non-discretionary advisory services.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Consulting and other non-discretionary advisory services
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.
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2
CA
12/22/2017 - Present
LPL Financial LLC (SAN DIEGO CA)
CA
08/31/2015 - 12/19/2017
CETERA INVESTMENT SERVICES LLC (PASADENA CA)
CA
09/11/2014 - 09/01/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HACIENDA HEIGHTS CA)
CA
06/17/2011 - 08/26/2013
SCOTTRADE, INC. (ALHAMBRA CA)
MO
11/16/2009 - 06/02/2011
SCOTTRADE, INC. (ST. LOUIS MO)
CA
10/08/2008 - 10/30/2009
CORE PACIFIC SECURITIES USA LLC (COVINA CA)
BOTH
Issued 11/03/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/19/2018
Series 4 - Registered Options Principal Examination
BC
Issued 06/15/2017
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/14/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 11/21/2018
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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