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QL

Qian Lu

ROYAL TREASURE SECURITIES LLC
NEW YORK, NY 10005
Some features on this profile are disabled
CRD#: 5045677
QL

Professional summary

Qian Lu, who also goes by Julia Lu, is a registered financial professional currently at ROYAL TREASURE SECURITIES LLC located in New York, New York.

Qian is registered as a RR (Registered Representative) and started their career in finance in 2006. Qian has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Julia Lu

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 Qian 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

May 2, 2024 - Present

ROYAL TREASURE SECURITIES LLC

Office #1: 40 Wall Street Suite 21-05, New York, NY 10005
BD
CRD#: 292325
NEW YORK, NY
Past

October 18, 2016 - September 3, 2019

GLOBAL ALLIANCE SECURITIES LLC

BD
CRD#: 167164
CHARLESTON (MT. PLEASANT), SC
Past

May 11, 2011 - October 5, 2016

TRIPOINT GLOBAL EQUITIES/BANQ(R)

BD
CRD#: 143174
BEIJING,
Past

February 20, 2009 - May 3, 2011

HUDSON SECURITIES,INC.

BD
CRD#: 10467
ATLANTA, GA
Past

July 12, 2006 - March 17, 2009

WESTMINSTER SECURITIES CORPORATION

BD
CRD#: 6105
ATLANTA, GA

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
Georgia
(5/6/2024)
RR
New York
(5/7/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/25/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/11/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RT
ROYAL TREASURE SECURITIES LLC
CHEERS SECURITIES LLC | ROYAL TREASURE SECURITIES LLC

CRD#: 292325 / SEC#: , 8-70136

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
40 Wall Street Suite 21-05, New York, NY 10005
Mailing Address
40 Wall Street Suite 21-05, New York, NY 10005
Phone number
(646) 751-8957
Established
Delaware since 06/09/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ROYAL TREASURE LIMITEDMEMBER
GUAN, KEVINCHIEF EXECUTIVE OFFICER7660277
RAVISHANKAR, PRIYACHIEF COMPLIANCE OFFICER5789297
RUSSELL, SARAH DETLINGPFO/FINOP6727189

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

ROYAL TREASURE SECURITIES LLC

CRD#: 292325New York, NY 10005

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