Desiree H. Lu
Professional summary
Desiree H Lu was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Desiree H Lu was a registered financial advisor .
Desiree is a previously registered financial advisor and started their career in finance in 1998. Desiree had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2007 - February 24, 2010
FORTUNE SECURITIES, INC.
September 25, 2001 - January 12, 2006
CITIGROUP GLOBAL MARKETS INC.
September 10, 2001 - January 12, 2006
CITIGROUP GLOBAL MARKETS INC.
December 15, 1998 - October 26, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FORTUNE SECURITIES, INC.
CRD#: 40821 / SEC#: , 8-49208
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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