David Gene Lu

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

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

Current Employers

Employment History

• 05/2009 → 08/2019
  Morgan Stanley & Co Inc
  La Mesa, CA
• 08/2019 → Present
  Wells Fargo Clearing Services, Llc
  San Diego, CA

Previous Registrations

• 2009-06-01 → 2019-09-24
  Morgan Stanley
  La Mesa, CA
• 2009-05-01 → 2009-06-01
  Morgan Stanley & Co. Llc
  La Mesa, CA
• 2001-05-15 → 2009-05-11
  Wells Fargo Investments, Llc
  San Diego, CA
  La Mesa, CA
  Solana Beach, CA
  La Mesa, CA

Other Businesses

RENTAL PROPERTY, INVT RELATED, CARLSBAD, CA, 100% OWNERSHIP, START DATE 9/13/2019, 0 HRS PER MONTH, 0 HRS DURING TRADING. | CO-TRUSTEE FOR MOTHER'S TRUST; INV. RELATED; SAN DIEGO, CA; START DATE 10/2019. | DLNL BEACH, LLC; INVESTMENT RELATED; POWAY, CA; TRUSTEE OF MANAGEING MEMBER; 100% OWNERSHIP BY FAMILY TRUST; 01/31/2025; 1 HOUR PER MONTH; NO HOURS DURING TRADING HOURS; LLC WILL OWN RENTAL PROPERTY | RENTAL PROPERTY (CAPRI BY THE SEA); INV RELATED; SAN DIEGO, CA; 100% OWNERSHIP; 03/2025; 1 HOUR PER MONTH; 0 DURING TRADING HOURS; SHORT TERM VACATION RENTAL

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-04-13
• S63 Uniform Securities Agent State Law Examination
  1999-02-17