Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Lu is a registered investment advisor with J.p. Morgan Securities LLC, with a focus on providing investment advice to individuals and businesses. John has been in the industry for over 15 years, beginning his career with Continental Broker-Dealer Corp. in 2002. Since then, John has worked for a variety of firms including Chase Investment Services Corp., World Group Securities, Inc., Transamerica Financial Advisors, Inc. and HSBC Securities (USA) Inc. He has a broad range of experience in the financial services industry, including investment banking, securities trading, and financial planning. John holds a Series 7, 63, and 66 license, which demonstrates his expertise in the financial markets. John is also a registered representative with FINRA and is licensed to sell securities in multiple states.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
09/05/2023 - Present
J.p. Morgan Securities LLC (FLUSHING NY)
NY
10/20/2014 - 03/24/2016
HSBC SECURITIES (USA) INC. (ELMHURST NY)
NY
03/10/2014 - 10/21/2014
TRANSAMERICA FINANCIAL ADVISORS, INC (FLUSHING NY)
NY
10/07/2010 - 12/31/2010
WORLD GROUP SECURITIES, INC. (FLUSHING NY)
NY
04/14/2004 - 10/05/2009
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
06/13/2002 - 11/27/2002
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
BOTH
Issued 03/17/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/25/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2014
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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