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Detailed Report
WILLIAM HU
CRD#: 5461697
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 251 S LAKE AVE SUITE 800
PASADENA, CA 91101
Registration History
20082010201220142016201820202022202420262 FIRMS2019 - Present (5 years)BFORESTERS FINANCIAL SERVICES, INC. (CRD# 305)2007 - 2019 (11 years)IAFORESTERS ADVISORY SERVICES, LLC (CRD# 164663)2016 - 2019 (3 years)
License(s)

State Registrations

B
Arizona 5/30/2019
B
North Carolina 11/18/2021
B
California 5/21/2019
B
Texas 5/21/2019
IA
California 5/21/2019
IA
Texas 5/21/2019
B
Mississippi 1/22/2020
B
Utah 5/21/2019
B
New Mexico 5/21/2019

SRO Registrations

B
 FINRA

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
LPL FINANCIAL LLC (CRD#:6413)
251 S LAKE AVE SUITE 800, PASADENA, CA 91101
Registered with this firm since 5/21/2019
B
LPL FINANCIAL LLC (CRD#:6413)
251 S LAKE AVE SUITE 800, PASADENA, CA 91101
Registered with this firm since 5/21/2019
Previous Registration(s)
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IA
 03/16/2016 - 05/21/2019 FORESTERS ADVISORY SERVICES, LLC (CRD#:164663) MONROVIA, CA
B
 12/17/2007 - 05/21/2019 FORESTERS FINANCIAL SERVICES, INC. (CRD#:305) MONROVIA, 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.