Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Quan? Claim Your ProfileQuan Luu is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc., with over 15 years of experience in the financial services industry. Quan has a broad range of experience in the financial services industry, having held previous positions at LPL Financial LLC, Wells Fargo Clearing Services, LLC, Chase Investment Services Corp., and World Group Securities, Inc. Quan is registered to offer securities and investment advisory services in 10 states, including Texas, Arizona, Arkansas, Colorado, Florida, Louisiana, Nevada, New Mexico, Oklahoma, and Texas. Quan holds several professional licenses and designations, including Series 6, Series 7, Series 63, and Series 66. Quan has also taken the Securities Industry Essentials Examination (SIE). Quan is committed to providing clients with personalized financial advice and strategies tailored to their individual needs.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
TX
07/30/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CYPRESS TX)
TX
01/20/2017 - 07/23/2018
LPL FINANCIAL LLC (CYPRESS TX)
TX
01/27/2012 - 01/25/2017
WELLS FARGO CLEARING SERVICES, LLC (KATY TX)
TX
07/01/2004 - 01/30/2012
CHASE INVESTMENT SERVICES CORP. (HOUSTON TX)
GA
09/25/2002 - 05/24/2004
WORLD GROUP SECURITIES, INC. (DULUTH GA)
BOTH
Issued 9/9/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/15/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/23/2008
Series 7 - General Securities Representative Examination
BC
Issued 9/24/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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