Judith M. Lu

BLUE ZONE WEALTH ADVISORS

Los Angeles, CA 90049

Some features on this profile are disabled

CRD#: 4580401

Professional summary

Judith Maria Lu is a registered financial advisor currently at BLUE ZONE WEALTH ADVISORS, LLC located in Los Angeles, California.

Judith is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Judith has worked at 5 firms and has passed the Series 66 and Series 7 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.

INSURANCE AGENT; LOS ANGELES, CA;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Judith Maria Lu's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 9, 2019 - Present

BLUE ZONE WEALTH ADVISORS, LLC

Office #1: 11812 San Vicente Blvd. Ste. 250, Los Angeles, CA 90049

RIA

CRD#: 305943

Los Angeles, CA

Past

July 14, 2014 - December 9, 2019

COMPOSITION WEALTH, LLC

RIA

CRD#: 143483

LOS ANGELES, CA

Past

February 26, 2014 - July 8, 2014

CITY NATIONAL SECURITIES, INC.

RIA

CRD#: 103705

LOS ANGELES, CA

Past

July 27, 2011 - July 8, 2014

CITY NATIONAL SECURITIES, INC.

CRD#: 103705

LOS ANGELES, CA

Past

January 1, 2010 - April 6, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

January 1, 2010 - April 6, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 5, 2009 - January 1, 2010

UBS INTERNATIONAL INC.

CRD#: 107726

NEW YORK, NY

Past

December 22, 2008 - January 1, 2010

UBS INTERNATIONAL INC.

RIA

CRD#: 107726

NEW YORK, NY

Past

October 2, 2003 - January 30, 2007

UBS INTERNATIONAL INC.

RIA

CRD#: 107726

MIAMI, FL

Past

September 20, 2002 - January 30, 2007

UBS INTERNATIONAL INC.

CRD#: 107726

NEW YORK, NY

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".

BLUE ZONE WEALTH ADVISORS, LLC

CRD#: 305943 / SEC#: 801-117548

RIA

Registered Investment Advisory firm - (10/28/2019 Approved)

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.

Highlighted states indicate IAR registrations

IAR

California
(12/9/2019)

IAR

Texas
(6/30/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/22/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 9/19/2002

General Securities Representative Examination

Current Firm

BLUE ZONE WEALTH ADVISORS, LLC

CRD#: 305943 / SEC#: 801-117548

RIA

Registered Investment Advisory firm - (10/28/2019 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

11812 San Vicente Blvd. Ste. 250, Los Angeles, CA 90049

Mailing Address

Phone number

(310) 310-2789

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	538
AUM (Assets Under Management)	$ 564,760,854

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.

Similar Advisors

Jon Neuhaus

MORGAN STANLEY

IAR

El Segundo, CA

John Powell

EQUITABLE ADVISORS, LLC

IAR

Los Angeles, CA

Danielle Barrios

MORGAN STANLEY

IAR

Beverly Hills, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Judith M. Lu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Judith Maria Lu's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPOSITION WEALTH, LLC

CITY NATIONAL SECURITIES, INC.

CITY NATIONAL SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS INTERNATIONAL INC.

UBS INTERNATIONAL INC.

UBS INTERNATIONAL INC.

UBS INTERNATIONAL INC.

Primary Firm SEC Registration

BLUE ZONE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/22/2003

Series 7

Date: 9/19/2002

Current Firm

BLUE ZONE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BLUE ZONE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors