Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yen ting? Claim Your ProfileYen ting Ashley Lu is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., a broker-dealer, and an investment adviser representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Yen ting Ashley Lu is active in the industry since December 11, 2008, and holds a Series 7 license and a Series 66 license. Yen ting Ashley Lu has also previously worked at other firms such as J.P. Morgan Securities LLC, Citigroup Global Markets Inc., HSBC Securities (USA) Inc., and UBS Financial Services Inc. Yen ting Ashley Lu is based in the Palo Alto office of Merrill Lynch, Pierce, Fenner & Smith Inc.
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
CA
07/09/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PALO ALTO CA)
CA
01/25/2019 - 07/21/2021
J.P. MORGAN SECURITIES LLC (SAN JOSE CA)
CA
12/06/2017 - 02/15/2019
CITIGROUP GLOBAL MARKETS INC. (SAN MATEO CA)
CA
06/03/2016 - 12/04/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MENLO PARK CA)
CA
03/05/2014 - 05/17/2016
HSBC SECURITIES (USA) INC. (OAKLAND CA)
CA
01/01/2010 - 02/10/2014
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
NY
11/03/2008 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
BOTH
Issued 08/07/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/01/2008
Series 7 - General Securities 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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