John Lu

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2021 → 07/2025
  Jp Morgan Securities Llc
  Flushing, NY
• 04/2016 → 05/2021
  Jpmorgan Bank
  Elmhurst, NY
• 07/2025 → Present
  Unemployed
  Jericho, NY
• 01/2026 → Present
  Cetera Investment Services Llc
  St Cloud, MN
• 01/2026 → Present
  Cetera Investment Advisers Llc
  New York, NY
• 01/2026 → Present
  Cathay Bank
  New York, NY

Previous Registrations

• 2016-05-11 → 2025-07-04
  J.P. Morgan Securities Llc
  Elmhurst, NY
  Flushing, NY
• 2014-10-21 → 2016-03-24
  Hsbc Securities (Usa) Inc.
  Elmhurst, NY
• 2014-03-19 → 2014-10-21
  Transamerica Financial Advisors, Llc
  Flushing, NY
• 2008-03-17 → 2009-10-05
  Chase Investment Services Corp.
  New York, NY
  New York City, NY

Exams

• S66 Uniform Combined State Law Examination
  2014-03-17
• S63 Uniform Securities Agent State Law Examination
  2002-06-25

Other Names

• John Lu
• Jun Lu
• Jun Lu
• Jun Lu