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Grace Lu

Rothschild & Co. US Inc.

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About Grace Lu

Grace Lu is an investment professional with Rothschild & Co. US Inc., working in the Santa Monica office. Grace Lu has a background in investment banking, having passed the Series 79TO exam. Grace Lu is also licensed by FINRA to offer securities products and services, having passed the Securities Industry Essentials (SIE) Exam. Grace Lu joined Rothschild & Co. US Inc. on 8/28/2023.

Firm Information

Grace Lu is currently registered with Rothschild & Co. US Inc.. Rothschild & Co. US Inc. is a corporation formed in July 1967 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm is regulated by the SEC and has one regulatory event on record.

Not reported

Assets Under Management

Not reported

Total Clients

91

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Grace Lu’s Registration & Firm History

CA

08/28/2023 - Present

Rothschild & Co. US Inc. (Santa Monica CA)

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Licenses & Designations

BC

Issued 08/28/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 06/22/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Grace Lu.
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