Ying Lu, financial advisor Parsippany NJ
77 score

Ying Lu

CRD Number: 5924332
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Ying Lu (CRD# 5924332) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Parsippany, NJ and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Parsippany, NJ Oct 2014 - Current 2
Bank Of America, N.a. Parsippany, NJ Oct 2014 - Current 2
Hsbc Bank Usa N.a. New York, NY Dec 2013 - Oct 2014 < 1
Morgan Stanley Red Bank, NJ Jun 2013 - Dec 2013 < 1
Unemployed Riverdale, NJ Nov 2012 - Jun 2013 < 1
Wts Proprietary Trading Groip New York, NY Jun 2011 - Nov 2012 1
University Of Califonia, Santa Cruz San Jose, CA Jan 2010 - May 2011 1
Hcl America Inc. Sunnyvale, CA Sep 2008 - Dec 2009 1
University Of Michigan Ann Arbor, MI Aug 2006 - Aug 2008 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jul 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Ying Lu
Phone Number: 800-637-7455
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
77

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