Yi Lu

USMART (USA)

NEW YORK, NY 10022

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CRD#: 5837061

Professional summary

Yi Lu, who also goes by Frank Lu, is a registered financial professional currently at USMART (USA) located in New York, New York.

Yi is registered as a RR (Registered Representative) and started their career in finance in 2010. Yi has worked at 3 firms and has passed the Series 63, Series 65, Series 79TO, Series 99TO, Series 57TO, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Frank 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 Yi 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

July 21, 2025 - Present

USMART (USA)

Office #1: 477 Madison Avenue 6th Fl Suite 631-635c, New York, NY, 10022Office #2: 477 Madison Avenue 6th Fl Suite 631-635c, New York, NY, 10022

CRD#: 329365

NEW YORK, NY

Past

August 10, 2021 - July 29, 2022

SNOWBALL SECURITIES LLC

CRD#: 311007

New York, NY

Past

September 16, 2010 - June 29, 2020

INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC

CRD#: 131487

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(8/17/2025)

Exams

State Security Law Exam

Series 63

Date: 8/11/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/17/2015

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 79TO

Date: 9/29/2025

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 7/21/2025

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 10/3/2019

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 10/22/2025

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/23/2011

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

USMART (USA)

USMART (USA) | USMART CAPITAL, LLC

CRD#: 329365 / SEC#: , 8-71200

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

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Contact information

Main Address

477 Madison Avenue 6th Fl Suite 631-635c, New York, NY, 10022

Mailing Address

477 Madison Avenue 6th Fl Suite 631-635c, New York, NY, 10022

Phone number

(646) 673-8611

Established

New York since 11/10/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (23 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
USMART INLET INVESTMENT LTD	OWNER
LU, YI	COO	5837061
SLONE, JONATHAN	CEO	2150608
VIGLIAROLO, JOSEPH CHARLES	CCO, INVESTMENT BANKING PRINCIPAL	4880434
ZAK, STEPHEN PETER	FINOP	2423424

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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Firm Stability Insights

Yi Lu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Yi Lu's CRS (Customer Relationship Summary).

Certified licenses

Experience

SNOWBALL SECURITIES LLC

INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/11/2025

Series 65

Date: 11/17/2015

Series 79TO

Date: 9/29/2025

Series 99TO

Date: 7/21/2025

Series 57TO

Date: 10/3/2019

SIE

Date: 10/1/2018

Series 7

Date: 9/15/2010

Series 27

Date: 10/22/2025

Series 24

Date: 5/23/2011

FINRA

Nasdaq Stock Market

Current Firm

USMART (USA)

Contact information

FINRA licenses (23 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

USMART (USA)

TRUST BUT VERIFY

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