Yanfang Lu

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CRD#: 5110829

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Yanfang Lu, who also goes by Wendy Lu, was a registered financial professional .

Yanfang is a previously registered financial professional and started their career in finance in 2006. Yanfang had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Wendy 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 28, 2018 - April 14, 2021

CAPITAL TRUST ADVISORS

RIA

CRD#: 134174

San Rafael, CA

Past

March 9, 2017 - September 6, 2018

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN FRANCISCO, CA

Past

March 8, 2017 - September 6, 2018

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN FRANCISCO, CA

Past

January 21, 2014 - March 8, 2017

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SAN FRANCISCO, CA

Past

March 6, 2012 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

SAN MATEO, CA

Past

March 6, 2012 - March 8, 2017

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

SAN MATEO, CA

Past

January 13, 2012 - March 5, 2012

TD AMERITRADE, INC.

CRD#: 7870

SAN FRANCISCO, CA

Past

January 9, 2012 - March 5, 2012

TD AMERITRADE, INC.

RIA

CRD#: 7870

SAN FRANCISCO, CA

Past

January 9, 2012 - March 5, 2012

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

SAN FRANCISCO, CA

Past

February 6, 2008 - June 30, 2011

TD AMERITRADE, INC.

RIA

CRD#: 7870

SAN FRANCISCO, CA

Past

February 6, 2008 - June 30, 2011

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

SAN FRANCISCO, CA

Past

February 6, 2008 - June 30, 2011

TD AMERITRADE, INC.

CRD#: 7870

SAN FRANCISCO, CA

Past

March 10, 2006 - January 22, 2008

NI ADVISORS

CRD#: 134502

FOSTER CITY, CA

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".

CAPITAL TRUST ADVISORS

CAPITAL TRUST ADVISORS | PALADIN INVESTMENT ADVISORS | GOLDBERG ADVISERS, LLC

CRD#: 134174 / SEC#: 801-121095

RIA

Registered Investment Advisory firm - (7/13/2021 Approved)

California

Registered Investment Advisory firm - (8/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/13/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/25/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/6/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/9/2006

General Securities Representative Examination

Current Firm

CAPITAL TRUST ADVISORS

CAPITAL TRUST ADVISORS | PALADIN INVESTMENT ADVISORS | GOLDBERG ADVISERS, LLC

CRD#: 134174 / SEC#: 801-121095

RIA

Registered Investment Advisory firm - (7/13/2021 Approved)

California

Registered Investment Advisory firm - (8/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/13/2021 Terminated)

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Contact information

Main Address

1210 5th Avenue, #275, San Rafael, CA 94901

Mailing Address

Phone number

(415) 399-9100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (3/31/2025)

BROCHURE SUPPLEMENT - PAUL A.D. EVANS (3/31/2025)

BROCHURE SUPPLEMENT - SANFORD P. LOWENGART, III (3/31/2025)

BROCHURE SUPPLEMENT - JOHN J. GOLDBERG (3/31/2025)

Regulatory assets under management

Total Number of Accounts	587
AUM (Assets Under Management)	$ 356,754,529

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.

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Advisor Monitoring

Firm Stability Insights

Yanfang Lu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

NI ADVISORS

Primary Firm SEC Registration

CAPITAL TRUST ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 3/25/2006

SIE

Date: 9/6/2018

Series 7

Date: 3/9/2006

Current Firm

CAPITAL TRUST ADVISORS

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL TRUST ADVISORS

TRUST BUT VERIFY

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