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SL

Shen Lu

ARK SECURITIES
PALO ALTO, CA 94303
Some features on this profile are disabled
CRD#: 4640530
SL

Professional summary

Shen Lu is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shen 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®
None

Experience

Current

April 7, 2026 - Present

ARK SECURITIES LLC

Office #1: 1950 University Circle Suite 200, Palo Alto, CA 94303
BD
CRD#: 246787
PALO ALTO, CA
Past

January 4, 2018 - January 27, 2026

WEBULL FINANCIAL LLC

BD
CRD#: 289063
St. Petersburg, FL
Past

October 27, 2015 - October 25, 2016

DIRECT MATCH

BD
CRD#: 226580
New York, NY
Past

August 9, 2013 - June 30, 2015

VIRTU AMERICAS LLC

BD
CRD#: 149823
JERSEY CITY, NJ
Past

November 19, 2012 - May 6, 2013

GETCO SECURITIES, LLC

BD
CRD#: 151233
NEW YORK, NY
Past

March 27, 2012 - June 11, 2014

GETCO EXECUTION SERVICES LLC

BD
CRD#: 145021
NEW YORK, NY
Past

February 2, 2007 - March 21, 2012

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

October 30, 2006 - January 23, 2007

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

March 24, 2003 - September 14, 2006

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(4/7/2026)
RR
New York
(4/7/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 4/2/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 4/19/2023
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/5/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 7/16/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/20/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/30/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ARK SECURITIES LLC
ARK SECURITIES LLC | T&G PRIVATE CAPITAL LLC | HUDSONFIELD SECURITIES LLC

CRD#: 246787 / SEC#: , 8-69629

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
PREMIUM
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Contact information

Main Address
1950 University Circle Suite 200, Palo Alto, CA 94303
Mailing Address
1950 University Circle Suite 200, Palo Alto, CA 94303
Phone number
(626) 235-8063
Established
Delaware since 04/21/2015
Firm type
Limited Liability Company
Fiscal year end
November
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
OLIVE ASSET MANAGEMENT LLCPARENT COMPANY
BUNT, DAVID JOHNCHIEF OPERATIONS OFFICER2201693
GRAY, JOHN CLARKEFINOP/CFO/PFO/POO1367440
TAYLOR, MICAH ANTHONY MR.CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER2890693

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.

Company Information

ARK SECURITIES LLC

CRD#: 246787Palo Alto, CA 94303

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