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Detailed Report
FRANK W LU
FRANK LU, FRANK WEI LU, WEI LU
CRD#: 2866886
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 15275 CULVER DR
IRVINE, CA 92604
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2017 (8 years)2 FIRMS2017 - Present (7 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)1999 - 2009 (9 years)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2003 - 2009 (5 years)
License(s)

State Registrations

B
California 10/19/2017
B
New Jersey 11/15/2023
IA
California 10/19/2017
B
New York 9/16/2022
B
Georgia 4/21/2024
B
North Carolina 10/21/2021
B
Hawaii 1/7/2021
B
Ohio 9/18/2019
B
Massachusetts 8/7/2019
B
Texas 10/19/2017
B
Nevada 11/17/2021
IA
Texas 10/19/2017
B
New Hampshire 10/29/2021
B
Washington 5/20/2020

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE National, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
J.P. MORGAN SECURITIES LLC (CRD#:79)
15275 CULVER DR, IRVINE, CA 92604
Registered with this firm since 10/19/2017
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
15275 CULVER DR, IRVINE, CA 92604
Registered with this firm since 10/19/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/29/2009 - 10/17/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ORANGE, CA
B
 09/29/2009 - 10/17/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ORANGE, CA
IA
 08/27/2003 - 02/20/2009 STRATEGIC ADVISERS, INC. (CRD#:104555) BREA, CA
B
 12/08/1999 - 02/20/2009 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) BREA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.