Frank J. Lugo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frank Joe Lugo JR, who also goes by Frank Joe Lugo Jr, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1982. Frank had worked at 10 firms and has passed the Series 66, SIE, Series 5, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2005 - May 13, 2024
CU INVESTMENT SOLUTIONS LLC
October 22, 2001 - October 18, 2005
WESCORP INVESTMENT SERVICES, LLC
August 29, 2000 - March 21, 2001
ABN AMRO INCORPORATED
July 30, 1999 - July 21, 2000
VP DISTRIBUTORS LLC
March 31, 1999 - April 12, 1999
MUTUAL SERVICE CORPORATION
May 17, 1991 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
May 2, 1991 - May 23, 1991
QUEST CAPITAL STRATEGIES, INC.
September 9, 1987 - May 8, 1989
C. L. MCKINNEY & CO., INC.
March 12, 1986 - August 8, 1987
KENNEDY, CABOT & CO.
November 3, 1982 - February 11, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/8/1982
Interest Rate Options ExaminationCurrent Firm
CU INVESTMENT SOLUTIONS LLC
CRD#: 43753 / SEC#: , 8-50400
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLOYA CORPORATE FCU | OWNER | |
| CATALYST FEDERAL CREDIT UNION | OWNER | |
| CORPORATE AMERICA CREDIT UNION | OWNER | |
| MILLENNIUM CORPORATE CREDIT UNION | OWNER | |
| TRICORP FEDERAL CREDIT UNION | OWNER | |
| VOLUNTEER CORPORATE CREDIT UNION | OWNER | |
| BECKER, JOSHUA DAMON | CHIEF OPERATING OFFICER | 5784666 |
| JACKSON, MATTHEW DAVID | CEO/CHIEF COMPLIANCE OFFICER/MANAGING MEMBER | 3251494 |
| THOMAS, BRADFORD LOWELL | CHIEF FINANCIAL OFFICER | 6180244 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
