Lucy Junyi Lu

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-01-16
CA	RA	APPROVED	2023-10-24

Branch Locations

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Woodland Hills	CA	07/2023	Present
Uci Graduate Division	Irvine	CA	09/2021	06/2023
Bank Of America	Los Angeles	CA	06/2022	08/2022
Mcdonald's	Elk Grove	CA	12/2016	05/2017
School	Elk Grove	CA	07/2013	12/2016
School	Elk Grove	CA	05/2017	09/2021
University Of California	Irvine	CA	09/2019	03/2023
Bank Of America N.A.	Woodland Hills	CA	08/2023	Present

07/2023 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Woodland Hills, CA
09/2021 → 06/2023

Uci Graduate Division

Irvine, CA
06/2022 → 08/2022

Bank Of America

Los Angeles, CA
12/2016 → 05/2017

Mcdonald's

Elk Grove, CA
07/2013 → 12/2016

School

Elk Grove, CA
05/2017 → 09/2021

School

Elk Grove, CA
09/2019 → 03/2023

University Of California

Irvine, CA
08/2023 → Present

Bank Of America N.A.

Woodland Hills, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-10-23

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