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FL

Frank Lu

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CRD#: 2209063
FL

Professional summary

Frank Lu was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Frank is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Frank had worked at 6 firms, which includes STONEX FINANCIAL INC., OPPENHEIMER & CO. INC., CIBC WORLD MARKETS CORP., BNP PARIBAS INVESTMENT SERVICES LLC, BARCLAYS CAPITAL INC., INVESTMENT MONITOR INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 13, 2006 - January 3, 2007

STONEX FINANCIAL INC.

BD
CRD#: 45993
NEW YORK, NY
Past

January 3, 2003 - March 15, 2006

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

March 20, 2000 - January 3, 2003

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

December 23, 1998 - March 21, 2000

BNP PARIBAS INVESTMENT SERVICES, LLC

BD
CRD#: 44598
MIAMI, FL
Past

January 22, 1997 - February 24, 1998

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

December 19, 1992 - February 3, 1997

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

March 27, 1992 - June 22, 1992

INVESTMENT MONITOR, INC.

BD
CRD#: 27981
ALLENHURST, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/18/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/5/1992
General Securities Representative Examination

Current Firm

SF
STONEX FINANCIAL INC.
INTERNATIONAL TRADER ASSOCIATION, INC. | STONEX FINANCIAL INC. | STONEX | INTLTRADER.COM, INC. | INTL TRADING, INC. | INTL FCSTONE SECURITIES INC. | INTL FCSTONE FINANCIAL INC.

CRD#: 45993 / SEC#: , 8-51269

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Mailing Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Phone number
(407) 741-5300
Established
Florida since 05/29/1998
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STONEX GROUP INC.OWNER
BOLTE, DAVID ALBERTSECRETARY2711410
DAVISON, STUART ANDREWDIRECTOR; CHIEF OPERATING OFFICER7824576
DICIOLLO, ANTHONY JOSEPHPRESIDENT/DIRECTOR4976402
DUNAWAY, WILLIAM JOHNDIRECTOR, CHIEF FINANCIAL OFFICER6505923
LYON, CHARLES MARTINDIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER4000852
MAURER, MARK LDIRECTOR, CHIEF RISK OFFICER4234406
PORZIO, JOSEPH JOHNFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER1319702
SMITH, PHILIP ANDREWDIRECTOR4999097
SZEKELY, GIGI KLARACHIEF COMPLIANCE OFFICER - BD DIVISION2530826

Disclosures

Regulatory Event75

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.

Company Information

STONEX FINANCIAL INC.

CRD#: 45993

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