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SL

Siyuan Lu

LBMZ SECURITIES
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 6720778
SL

Professional summary

Siyuan Lu, who also goes by Aaron Lu, is a registered financial professional currently at LBMZ SECURITIES, INC. located in Chicago, Illinois.

Siyuan is registered as a RR (Registered Representative) and started their career in finance in 2016. Siyuan has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Aaron 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 Siyuan 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

March 5, 2020 - Present

LBMZ SECURITIES, INC.

Office #1: 101 North Wacker Drive Suite 1500, Chicago, IL 60606
BD
CRD#: 7874
CHICAGO, IL
Past

August 8, 2018 - November 4, 2025

ZACKS INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 110897
CHICAGO, IL
Past

January 23, 2017 - May 24, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
ROLLING MEADOWS, IL
Past

December 9, 2016 - May 24, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
ROLLING MEADOWS, IL

State Registrations and Notice Filings

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

RR
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

RR
Illinois
(11/17/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/20/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LBMZ SECURITIES, INC.
LBMZ SECURITIES, INC. | ZACKS TRADE | ZACKS AND COMPANY | ZACKS & COMPANY, INC. | ZACKS & COMPANY

CRD#: 7874 / SEC#: , 8-23266

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

Main Address
101 North Wacker Drive Suite 1500, Chicago, IL 60606-1705
Mailing Address
101 North Wacker Drive Suite 1500, Chicago, IL 60606-1705
Phone number
(312) 630-9880
Established
Illinois since 09/20/1978
Firm type
Corporation
Fiscal year end
November
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#
FRANCINE ZACKS 2012 GIFT TRUSTOWNER
CALDER, JUDITH ANNCHIEF COMPLIANCE OFFICER38260
COLOMBO, DOUGLAS NMNFINOP1858351
ZACKS, LEONARD HARVEYPRESIDENT & DIRECTOR806891
ZACKS, MITCHEL ETHANTRUSTEE FOR THE FRANCINE ZACKS 2012 GIFT TRUST2649079

Disclosures

Regulatory Event8

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

LBMZ SECURITIES, INC.

CRD#: 7874Chicago, IL 60606

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