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Xindi Lu

UBS Securities LLC

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About Xindi Lu

Xindi Lu is a registered representative with UBS Securities LLC. Xindi has been in the financial industry for a short period of time and has successfully passed the Securities Industry Essentials (SIE) and Investment Banking Registered Representative Examination (Series 79TO). Xindi's prior experience was with Credit Suisse Securities (USA) LLC, where she held a position for a brief time.

Firm Information

Xindi Lu is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

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.

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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Xindi Lu’s Registration & Firm History

CA

09/29/2023 - Present

UBS Securities LLC (SAN FRANCISCO CA)

CA

09/06/2023 - 09/29/2023

CREDIT SUISSE SECURITIES (USA) LLC (San Francisco CA)

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Licenses & Designations

BC

Issued 09/05/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 08/26/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Xindi Lu.
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