Best Investors Account Sign in

Yue Lu

Cetera Investment Advisers LLC

Temple City, CA

Claim This Profile
Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-01-03
CA RA APPROVED 2021-07-15
  • TX RA
    APPROVED
    Since 2023-01-03
  • CA RA
    APPROVED
    Since 2021-07-15

Branch Locations

5607 North Rosemead Blvd, Temple City, CA 91780 • 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
American Rena Los Angeles CA 07/2016 10/2016
Axa Advisors, Llc New York NY 11/2016 02/2017
Hsbc Bank Usa National Association San Marino CA 04/2017 07/2021
Hsbc Securities (Usa) Inc. San Marino CA 06/2017 07/2021
Cetera Investment Services Llc St Cloud MN 07/2021 Present
Cetera Investment Advisers Llc Temple City CA 07/2021 Present
East West Bank Temple City CA 07/2021 Present
  • 07/2016 → 10/2016
    American Rena
    Los Angeles, CA
  • 11/2016 → 02/2017
    Axa Advisors, Llc
    New York, NY
  • 04/2017 → 07/2021
    Hsbc Bank Usa National Association
    San Marino, CA
  • 06/2017 → 07/2021
    Hsbc Securities (Usa) Inc.
    San Marino, CA
  • 07/2021 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 07/2021 → Present
    Cetera Investment Advisers Llc
    Temple City, CA
  • 07/2021 → Present
    East West Bank
    Temple City, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-01-23
  • S66 Uniform Combined State Law Examination
    2017-01-23
Other Names
  • Patrick Yue Lu
  • Patrick Lu

View on SEC IAPD

Other Firms

J.P. MORGAN SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CITIGROUP GLOBAL MARKETS INC.
RF CAPITAL MANAGEMENT
U.S. BANCORP ADVISORS, LLC
PENSION MAXIMA INVESTMENT ADVISORY, INC.
EQUITABLE ADVISORS, LLC

Other Investors

WILLIAM TIEN
Mike Lo
YI SHEN
Liang ke Yu
STEPHANIE LEE
BRYANT SHAN TCHAN
Zhen Rong Yu
TAT GARY H TSUI

Other Offices

J.P. MORGAN SECURITIES LLC · TEMPLE CITY, CA
WELLS FARGO CLEARING SERVICES, LLC · TEMPLE CITY, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · TEMPLE CITY, CA
CITIGROUP GLOBAL MARKETS INC. · Temple City, CA
CETERA INVESTMENT ADVISERS LLC · TEMPLE CITY, CA
RF CAPITAL MANAGEMENT · ARCADIA, CA
J.P. MORGAN SECURITIES LLC · TEMPLE CITY, CA
U.S. BANCORP ADVISORS, LLC · Arcadia, CA

More in Temple City, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor