Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jodie? Claim Your ProfileJodie Lu is a financial advisor at UBS Financial Services Inc. Jodie has been in the financial services industry since May 2018 and is licensed to provide securities and investment advisory services in California. Jodie is also registered with FINRA. Jodie holds several professional designations, including Series 7, Series 10, Series 63 and Series 65. Jodie has a diverse background in education, business and finance. Jodie is committed to providing her clients with personalized financial advice and guidance.
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.
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.
See schedule d - miscellaneous
1
2
CA
08/19/2019 - Present
UBS Financial Services Inc. (Los Angeles CA)
IA
Issued 08/19/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/08/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/24/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/29/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/14/2018
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Jodie Lu is the right advisor for you? Invested Better is here to help.
