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Lu Tian Stone

Charles Schwab & CO., Inc.

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About Lu Tian Stone

Lu Tian Stone is an investment advisor with Charles Schwab & Co., Inc. Lu has been working in the financial industry since 2017 and is registered in 15 states. Lu's background includes experience at Wells Fargo Clearing Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and J.P. Morgan Securities LLC. Lu specializes in providing financial planning and investment advice to individuals and families. Lu is committed to helping clients reach their financial goals.

Firm Information

Lu Stone is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Lu Stone’s Registration & Firm History

CA

12/09/2022 - Present

Charles Schwab & CO., Inc. (Newport Beach CA)

CA

07/30/2019 - 04/07/2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (IRVINE CA)

CA

08/18/2017 - 06/27/2019

J.P. MORGAN SECURITIES LLC (IRVINE CA)

CO

02/28/2017 - 08/11/2017

WELLS FARGO CLEARING SERVICES, LLC (GREENWOOD VILLAGE CO)

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Licenses & Designations

IA

Issued 10/01/2019

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/09/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/05/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/28/2017

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Lu Tian Stone.
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