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SL

Su Zhen Lu

US TIGER SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 6531446
SL

Professional summary

Su Zhen Lu, who also goes by Suzhen Lu, is a registered financial professional currently at US TIGER SECURITIES, INC. located in New York, New York and TRADEUP SECURITIES, INC. located in Roseland, New Jersey.

Su Zhen is registered as a RR (Registered Representative) and started their career in finance in 2015. Su Zhen has worked at 5 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Suzhen 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 Su Zhen 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

November 2, 2021 - Present

US TIGER SECURITIES, INC.

Office #1: 437 Madison Ave 27th Floor, New York, NY 10022
BD
CRD#: 120583
New York, NY
Current

November 2, 2021 - Present

TRADEUP SECURITIES, INC.

Office #1: 101 Eisenhower Parkway, Roseland, NJ 07068Office #2: 437 Madison Ave 27th Floor, New York, NY 10022
BD
CRD#: 18483
Roseland, NJ
Past

January 7, 2019 - November 16, 2021

HAITONG SECURITIES USA LLC

BD
CRD#: 281918
New York, NY
Past

September 25, 2018 - November 16, 2021

HAITONG INTERNATIONAL SECURITIES (USA) INC.

BD
CRD#: 132201
NEW YORK, NY
Past

September 2, 2015 - March 27, 2018

DBS VICKERS SECURITIES (USA) INC.

BD
CRD#: 35691
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 9/2/2015
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

TS
TRADEUP SECURITIES, INC.
MARSCO INVESTMENT CORPORATION | TRADEUP SECURITIES, INC.

CRD#: 18483 / SEC#: , 8-36754

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

Main Address
437 Madison Ave 27th Floor, New York, NY 10022
Mailing Address
437 Madison Ave 27th Floor, New York, NY 10022
Phone number
(973) 228-2886
Established
New Jersey since 09/03/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TIGER FINTECH HOLDINGS INC.DOMESTIC ENTITY
HUANG, LEIBOARD OF DIRECTOR5248191
HUANG, LEICEO5248191
LIANG, CEHEAD OF FINANCE/ PFO7554601
LIU, YOUQINGFINOP/POO/CFO5893930
LUPO, VINCENT JR.CHIEF OPERATIONS OFFICER1478037
YE, GUANWUCCO5985247

Disclosures

Regulatory Event4

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.

Company Information

TRADEUP SECURITIES, INC.

CRD#: 18483New York, NY 10022

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