Shen Lu
Professional Summary
Shen Lu is a registered financial advisor currently at ARK SECURITIES LLC located in Palo Alto, California. Shen is registered as a RR (Registered Representative) and started their career in finance in 2003. Shen has worked at 9 firms and has passed the Series 63, Series 3, Series 57TO, Series 99TO, SIE, Series 79, Series 55, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
ARK SECURITIES LLC | T&G PRIVATE CAPITAL LLC | HUDSONFIELD SECURITIES LLC
Contact Information
Main Address
1950 University Circle Suite 200, Palo Alto, CA 94303Mailing Address
1950 University Circle Suite 200, Palo Alto, CA 94303Phone Number
(626) 235-8063Established
Delaware since 04/21/2015Firm Type
Limited Liability CompanyFiscal Year End
NovemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(4/7/2026)
(4/7/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Sep 2018About the Series 79 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jul 2003SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Shen Lu's CRS (Customer Relationship Summary).
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