Jeffery C. Lu
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.
Jeffery Chunchieh Lu, who also goes by Jeffery Chun Chiea Lu, Jeffery Chun-chieh Lu, Jeffrey Chunchieh Lu, was a registered financial professional .
Jeffery is a previously registered financial professional and started their career in finance in 1996. Jeffery had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 50, Series 57TO, SIE, Series 7, Series 54, Series 14, Series 53, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2022 - June 24, 2026
D.A. DAVIDSON & CO.
September 2, 2015 - July 7, 2021
WEDBUSH SECURITIES INC.
September 1, 2015 - July 7, 2021
WEDBUSH SECURITIES INC.
April 8, 2014 - November 4, 2014
U.S. BANCORP INVESTMENTS, INC.
April 8, 2014 - November 4, 2014
U.S. BANCORP INVESTMENTS, INC.
November 25, 2013 - April 7, 2014
D.A. DAVIDSON & CO.
November 25, 2013 - April 7, 2014
D.A. DAVIDSON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
September 3, 2013 - November 4, 2013
CROWELL, WEEDON & CO.
September 3, 2013 - November 4, 2013
CROWELL, WEEDON & CO.
March 18, 2013 - September 4, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 18, 2013 - September 4, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 10, 2005 - September 19, 2012
MML INVESTORS SERVICES, LLC
October 29, 2002 - September 19, 2012
MML INVESTORS SERVICES, LLC
November 30, 1999 - July 23, 2002
CORE PACIFIC SECURITIES USA LLC
October 9, 1998 - November 29, 1999
WMA SECURITIES, INC.
June 25, 1996 - September 10, 1998
CAPITAL WORLD SECURITIES CORP
Primary Firm SEC Registration
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/29/2019
Securities Trader ExamCurrent Firm
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 92,146 |
| AUM (Assets Under Management) | $ 41,839,245,699 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 |
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.
