Lu An
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.
Lu An, who also goes by Jason An, was a registered financial professional .
Lu is a previously registered financial professional and started their career in finance in 2016. Lu had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2020 - October 15, 2020
HAITONG SECURITIES USA LLC
November 14, 2019 - October 15, 2020
HAITONG INTERNATIONAL SECURITIES (USA) INC.
July 2, 2016 - January 16, 2019
MAXIM GROUP 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
Current Firm
HAITONG SECURITIES USA LLC
CRD#: 281918 / SEC#: , 8-69694
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAITONG INTERNATIONAL SECURITIES GROUP LIMITED | PARENT | |
| FORBES, SEAN MATTHEW | PRESIDENT, CHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER | 1554301 |
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.
