Huaxing 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.
Huaxing Lu, who also goes by Jason Lu, was a registered financial professional .
Huaxing is a previously registered financial professional and started their career in finance in 2017. Huaxing had worked at 2 firms and has passed the SIE, Series 57 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2017 - January 19, 2018
OLD MISSION MARKETS LLC
May 9, 2017 - January 16, 2018
OLD MISSION CAPITAL, 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
OLD MISSION MARKETS LLC
CRD#: 281867 / SEC#: , 8-69691
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OLD MISSION FINANCIAL SERVICES LLC | OWNER | |
| GASTON, STEVEN JOHN | CHIEF COMPLIANCE OFFICER | 3094187 |
| GUZOWSKI, JOSEF MICHAEL | MANAGER, CEO | 2989719 |
| KEITH, ALLEN THOMAS | FINOP | 4457493 |
| MARQUEZ AVITIA, ERICA NMN | CHIEF OPERATING OFFICER | 5074353 |
| NICHOLS, PATRICK JAMES | MANAGER | 4757503 |
| RUSSINA, BRYAN SCOTT | MANAGER | 5031844 |
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.
