Eric Y. Lu
Professional summary
Eric Yang Lu, who also goes by Yang Lu, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Eric is registered as a RR (Registered Representative) and started their career in finance in 2013. Eric has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Yang Lu's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 12, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: 22 Vanderbilt Avenue 20th Floor, New York, NY 10017March 8, 2024 - April 11, 2024
TD SECURITIES (USA) LLC
May 4, 2021 - April 11, 2024
COWEN AND COMPANY
May 10, 2019 - April 27, 2021
BOFA SECURITIES, INC.
July 23, 2013 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/12/2024)
Exams
FINRA
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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