Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Hongmin? Claim Your ProfileHongmin Lu is a registered investment advisor with Morgan Stanley. Hongmin has been in the industry since 2008. Hongmin has a Series 65 and Series 63 license. Hongmin is registered with the following states: California, Hawaii, Maine, Montana, Nevada, New York, North Carolina, Pennsylvania, Tennessee, Texas, Utah, and Washington. Hongmin is also registered with FINRA and is a member of the Securities Investor Protection Corporation (SIPC).
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
04/29/2024 - Present
Morgan Stanley (Cupertino CA)
IA
Issued 10/21/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/10/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 08/27/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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