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Kun-Er Lu

LPl Financial LLC

Rancho Mission Viejo, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2010-11-18
CA RA APPROVED 2008-03-24
  • TX RA
    APPROVED_RES
    Since 2010-11-18
  • CA RA
    APPROVED
    Since 2008-03-24

Branch Locations

Rancho Mission Viejo, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Rancho Mission Viejo CA 03/2008 Present
  • 03/2008 → Present
    Lpl Financial
    Rancho Mission Viejo, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-12-14
S63 Uniform Securities Agent State Law Examination 2003-05-15
  • S66 Uniform Combined State Law Examination
    2006-12-14
  • S63 Uniform Securities Agent State Law Examination
    2003-05-15
Other Names
  • Rebecca Lu
  • Kun-Ur Lu
  • Kun-Er Chen

View on SEC IAPD

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