SL
Shen Lu
WEBULL FINANCIAL LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 4640530
SL
Professional summary
Shen Lu is a registered financial professional currently at WEBULL FINANCIAL LLC located in New York, New York.
Shen is registered as a RR (Registered Representative) and started their career in finance in 2003. Shen has worked at 8 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.
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®
NoneExperience
Current
January 4, 2018 - Present
WEBULL FINANCIAL LLC
Office #1: 44 Wall Street 2nd Floor, New York, NY 10005Office #2: 200 Carillon Pkwy Floor 4, St. Petersburg, FL 33716BD
CRD#: 289063
New York, NY
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
Alabama(2/15/2018)
RR
Alaska(1/18/2018)
RR
Arizona(1/26/2018)
RR
Arkansas(2/12/2018)
RR
California(1/11/2018)
RR
Colorado(2/5/2018)
RR
Connecticut(1/17/2018)
RR
Delaware(2/12/2018)
RR
District of Columbia(2/2/2018)
RR
Georgia(1/25/2018)
RR
Hawaii(2/5/2018)
RR
Idaho(1/11/2018)
RR
Illinois(2/8/2018)
RR
Indiana(2/2/2018)
RR
Iowa(1/11/2018)
RR
Kansas(2/2/2018)
RR
Kentucky(1/16/2018)
RR
Louisiana(1/16/2018)
RR
Maine(2/2/2018)
RR
Maryland(1/26/2018)
RR
Massachusetts(1/30/2018)
RR
Michigan(2/13/2018)
RR
Minnesota(2/8/2018)
RR
Mississippi(1/22/2018)
RR
Missouri(2/2/2018)
RR
Montana(1/16/2018)
RR
Nebraska(2/13/2018)
RR
Nevada(1/19/2018)
RR
New Hampshire(2/12/2018)
RR
New Jersey(2/8/2018)
RR
New Mexico(2/8/2018)
RR
North Carolina(1/25/2018)
RR
North Dakota(2/2/2018)
RR
Ohio(1/22/2018)
RR
Oklahoma(1/31/2018)
RR
Oregon(2/8/2018)
RR
Pennsylvania(1/11/2018)
RR
Puerto Rico(2/16/2018)
RR
Rhode Island(1/11/2018)
RR
South Carolina(1/18/2018)
RR
South Dakota(1/24/2018)
RR
Tennessee(1/30/2018)
RR
Texas(2/8/2018)
RR
Utah(1/11/2018)
RR
Vermont(2/6/2018)
RR
Virgin Islands(1/30/2018)
RR
Virginia(1/18/2018)
RR
Washington(1/18/2018)
RR
West Virginia(2/13/2018)
RR
Wisconsin(2/6/2018)
RR
Wyoming(1/19/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/16/2003
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WF
WEBULL FINANCIAL LLC
WEBULL FINANCIAL LLC
CRD#: 289063 / SEC#: , 8-69978
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
44 Wall Street 2nd Floor, New York, NY 10005
Mailing Address
44 Wall Street 2nd Floor, New York, NY 10005
Phone number
(917) 725-2448
Established
Delaware since 05/24/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
