Frank J. Lupu

LUPU FINANCIAL

WESTLAKE VILLAGE, CA 91361

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CRD#: 5533937

Professional summary

Frank J Lupu, who also goes by Francesco Jeffrey Lupu, Frank Lupu, Frankie Lupu, is a registered financial advisor currently at LUPU FINANCIAL located in Westlake Village, California.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Frank has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Francesco Jeffrey Lupu | Frank Lupu | Frankie Lupu

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.

Lupu Insurance Services, LLC; Insurance Agent; INVESTMENT RELATED: Yes; START DATE: 08/2023 ADDRESS: Boise, ID; Fixed Insurance Sales; Approximately 15 hours spent per month; Approximately 1 hour spent during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank J Lupu'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

February 1, 2021 - Present

LUPU FINANCIAL

Office #1: 2945 Townsgate Rd. Suite 200, Westlake Village, CA 91361

RIA

CRD#: 311610

WESTLAKE VILLAGE, CA

Past

February 20, 2020 - February 26, 2021

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

BOISE, ID

Past

April 28, 2014 - February 25, 2020

COOPER MCMANUS

RIA

CRD#: 111458

Boise, ID

Past

April 24, 2014 - February 26, 2021

SECURITIES AMERICA, INC.

CRD#: 10205

BOISE, ID

Past

July 29, 2008 - April 25, 2014

EDWARD JONES

RIA

CRD#: 250

VENTURA, CA

Past

July 14, 2008 - April 25, 2014

EDWARD JONES

CRD#: 250

VENTURA, CA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/25/2021)

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: 7/24/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/12/2008

General Securities Representative Examination

Current Firm

LUPU FINANCIAL

LUPU FINANCIAL | LUPU FINANCIAL SERVICES, LLC | LUPU FINANCIAL SERVICES, INC.

CRD#: 311610 / SEC#:

California

Registered Investment Advisory firm - (2/25/2021 Approved)

Idaho

Registered Investment Advisory firm - (2/29/2024 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).

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Contact information

Main Address

2945 Townsgate Rd. Suite 200, Westlake Village, CA 91361

Mailing Address

Phone number

(805) 484-2500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	71
AUM (Assets Under Management)	$ 12,000,000

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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Frank J. Lupu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank J Lupu's CRS (Customer Relationship Summary).

Certified licenses

Experience

LUPU FINANCIAL

SECURITIES AMERICA ADVISORS, INC.

COOPER MCMANUS

SECURITIES AMERICA, INC.

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 7/24/2008

SIE

Date: 10/1/2018

Series 7

Date: 7/12/2008

Current Firm

LUPU FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LUPU FINANCIAL

TRUST BUT VERIFY

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