HL
Hui Yao S. Lu
TRANSAMERICA FINANCIAL ADVISORS
Saratoga, CA 95070
Some features on this profile are disabled
CRD#: 4527870
HL
Professional summary
Hui Yao Stacy Lu is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Saratoga, California.
Hui Yao is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Hui Yao has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc Everland Investment, LLC/Yes/1805 N. Carson Street/Carson City/NV/89701/It's a land investment, no activities after purchase/Member/02.01.2005/0/0/no duties and responsibilities. Maricopa One Investment, LLC/Yes/2201 W. Keating Avenue/Mesa/AZ/85202/It is a land investment/Partner/02.01.2005/0/0/no duty and responsibility. LU AND WANG CORP /0119 TO PRESENT/ INVESTMENT RELATED: NO /1821 SARATOGA AVE SUITE 290 SARATOGA, CA 95070/CHAIRMAN & CEO/ LU & WANG CORP IS CREATED FOR THE SOLE PURPOSE OF RUNNING MY WFG/ TRANSAMERICA AND APPROVED OBA BUSINESS EXPENSES THROUGH, AS SUGGESTED BY MY ACCOUNTANT. THIS NAME WON'T BE USED TO CONDUCT ANY LIFE AND SECURITIES BUSINESS / hrs work monthly: 8/ Sec trading hrs: 0/OVERSEE BUSINESS INCOME AND EXPENSES AND TAX REPORTING Gold House Realty and Mortgage / 0820-Present / Investment Related: Yes/ 18488 Prospect Rd. #10 Saratoga, CA 95070 / Realtor -Mortgage Agent / Real Estate and Mortgage / Hrs Work Monthly: / Sec Trading Hrs: / I keep my license but do minimal business in real estate and mortgage with couple cases per year to service the old clients. I want to switch mu licenses to this OBA to keep licenses active, no daily activities and responsibilities with this OBA RENTAL PROPERTY POSITION: OWNER NATURE: RENTAL PROPERTY INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/24/2021 ADDRESS: 967 MILLER AVE, CUPERTINO CA 95014, United States DESCRIPTION: The rental property is a passive investment without active management so there is no daily activity. Only needs to renew/extend lease once a year and inform home owner warranty company to repair as needed once in a while. My husband 09LXQ is taking care of all of those.
CRS (Client Relationship Summary) - RIA
Click below to view Hui Yao Stacy Lu's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hui Yao Stacy Lu's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 19, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1821 Saratoga Ave Suite 290, Saratoga, CA 95070RIA
BD
CRD#: 16164
Saratoga, CA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1821 Saratoga Ave Suite 290, Saratoga, CA 95070RIA
BD
CRD#: 16164
Saratoga, CA
Past
January 30, 2004 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
ALVISO, CA
Past
May 17, 2002 - February 28, 2003
SINOPAC FINANCIAL SERVICES (USA) LTD.
BD
CRD#: 106464
INDUSTRY, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/6/2012)
IAR
California(7/19/2017)
RR
Maryland(9/26/2025)
RR
Nebraska(12/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
