Colin O. Lu
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.
Colin Ouyang Lu, who also goes by Colin Lu, was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 2014. Colin had worked at 2 firms and has passed the SIE, Series 57TO and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2024 - June 3, 2026
TOWER PRINCIPAL MARKETS LLC
September 17, 2014 - March 22, 2019
OPTIVER US LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 8/1/2024
Securities Trader ExamSeries 56
Date: 9/17/2014
Proprietary Trader Qualification ExaminationCurrent Firm
TOWER PRINCIPAL MARKETS LLC
CRD#: 319604 / SEC#: , 8-70919
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOWER RESEARCH CAPITAL LLC | MEMBER | |
| CONCANNON, SEAN PATRICK | PRINCIPAL FINANCIAL OFFICER | 5364102 |
| ELLMAN, MICHAEL GREG | PRINCIPAL OPERATIONS OFFICER & FINOP | 5574667 |
| MESTER, THOMAS BRENNER | CHIEF COMPLIANCE OFFICER | 2350593 |
| SHEDID, MARWA MAHMOUD | CHIEF OPERATING OFFFICER | 5470002 |
| WILSON, KENNETH NIXON | CEO | 3014927 |
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.
