Allen C 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

• 01/2006 → 02/2018
  Scottrade, Inc.
  San Jose, CA
• 02/2018 → 05/2019
  Td Ameritrade, Inc.
  San Jose, CA
• 02/2018 → 05/2019
  Td Ameritrade Investment Management, Llc
  Omaha, NE
• 02/2020 → Present
  Cetera Investment Services Llc
  St Cloud, MN
• 02/2020 → Present
  Cetera Investment Advisers Llc
  San Francisco, CA
• 02/2020 → Present
  East West Bank
  San Francisco, CA
• 05/2019 → 02/2020
  Unemployed
  Fremont, CA

Previous Registrations

• 2018-02-27 → 2019-05-03
  Td Ameritrade, Inc.
  Milpitas, CA
  San Jose, CA
• 2018-02-26 → 2019-05-03
  Td Ameritrade Investment Management, Llc
  Omaha, NE
  Milpitas, CA
• 2017-05-19 → 2018-02-26
  Scottrade Investment Management
  Saint Louis, MO

Exams

• S66 Uniform Combined State Law Examination
  2017-05-18
• S63 Uniform Securities Agent State Law Examination
  1999-02-09

Other Names

• Allen Chuan Gao Lu
• Allen Lu