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YI JESSIE LU
YI LU
CRD#: 5823964
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 600 WEST BROADWAY
SUITE 2800
SAN DIEGO, CA 92101
Registration History
202120222023202420252026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2022 - Present (2 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2021 - Present (3 years)
License(s)

State Registrations

B
Arizona 1/12/2024

B
New Jersey 1/12/2024

B
California 8/12/2022

B
New York 1/12/2024

IA
California 8/12/2022

B
North Carolina 1/12/2024

B
Colorado 1/12/2024

B
Ohio 1/12/2024

B
Delaware 1/12/2024

B
Oregon 1/12/2024

B
Florida 1/12/2024

B
Pennsylvania 1/12/2024

B
Georgia 1/12/2024

B
South Dakota 1/12/2024

B
Idaho 1/12/2024

B
Tennessee 1/12/2024

B
Illinois 1/12/2024

B
Texas 1/12/2024

B
Indiana 1/12/2024

B
Utah 1/12/2024

B
Louisiana 1/12/2024

B
Virginia 3/7/2024

B
Maryland 1/12/2024

B
Washington 1/12/2024

B
Massachusetts 1/12/2024

B
Wisconsin 1/12/2024

B
Nevada 1/12/2024

B
Wyoming 1/12/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, 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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
600 WEST BROADWAY SUITE 2800, SAN DIEGO, CA 92101
Registered with this firm since 8/12/2022

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
600 WEST BROADWAY SUITE 2800, SAN DIEGO, CA 92101
Registered with this firm since 7/16/2021

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B
Broker
IA
Investment Adviser
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.