Yi 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.
Yi Lu, who also goes by Chris Lu, was a registered financial professional .
Yi is a previously registered financial professional and started their career in finance in 1997. Yi had worked at 4 firms and has passed the Series 63, Series 55, Series 7 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
July 12, 2011 - March 12, 2012
G-2 TRADING,LLC
April 13, 2011 - July 11, 2011
BENCHMARQ TRADING PARTNERS LLC
September 3, 2009 - March 23, 2011
MADISON PROPRIETARY TRADING GROUP, LLC
May 2, 2006 - September 4, 2009
G-2 TRADING,LLC
August 20, 1997 - April 1, 2002
TRADE MANAGE CAPITAL, INC.
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 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
G-2 TRADING,LLC
CRD#: 44018 / SEC#: , 8-50510
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
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.
