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Detailed Report
Simon Lu
CRD#: 6054577
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 35 NORTH LAKE AVENUE
SUITE 800
PASADENA, CA 91101
Registration History
201220142016201820202022202420262 FIRMS2017 - Present (7 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2017 (4 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2012 - 2012 (<1 year)IAJ.P. MORGAN SECURITIES LLC (CRD# 79)2017 - 2017 (<1 year)
License(s)

State Registrations

B
California 9/11/2017
B
New Hampshire 2/7/2023
IA
California 9/11/2017
B
New Mexico 2/7/2023
B
District of Columbia 10/24/2018
B
North Carolina 2/27/2023
B
Indiana 6/16/2022
B
Oregon 11/9/2018
B
Iowa 6/18/2024
B
Virginia 6/16/2022
B
Massachusetts 6/8/2022
B
Washington 1/9/2019
B
Michigan 8/9/2023

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
ADVICE AND PLANNING SERVICES (CRD#:20472)
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
Pasadena, CA
Registered with this firm since 9/11/2017
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
Pasadena, CA
Registered with this firm since 9/11/2017
Previous Registration(s)
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IA
 02/28/2017 - 08/30/2017 J.P. MORGAN SECURITIES LLC (CRD#:79) TEMPLE CITY, CA
B
 10/01/2012 - 08/30/2017 J.P. MORGAN SECURITIES LLC (CRD#:79) TEMPLE CITY, CA
B
 05/15/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) ALHAMBRA, 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.