Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Gene Lu is a financial advisor with over 20 years of experience in the financial services industry. David has a strong track record of providing comprehensive financial planning and investment management services to individuals, families, and businesses. David currently works at Wells Fargo Clearing Services, LLC, where David has been a registered representative since 2019. Before that, David worked for Morgan Stanley from 2009 to 2019.
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.
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.
Investment consulting services to institutional clients
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
CA
09/06/2019 - Present
Wells Fargo Clearing Services, LLC (SAN DIEGO CA)
CA
06/01/2009 - 09/24/2019
MORGAN STANLEY (LA MESA CA)
CA
05/01/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LA MESA CA)
CA
05/02/2001 - 05/11/2009
WELLS FARGO INVESTMENTS, LLC (LA MESA CA)
CA
01/29/1999 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
IA
Issued 04/13/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/17/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/27/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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