HL
Hao Lu
PUMA CAPITAL
Rye, NY 10520
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CRD#: 6987995
HL
Professional summary
Hao Lu is a registered financial professional currently at PUMA CAPITAL, LLC located in Rye, New York.
Hao is registered as a RR (Registered Representative) and started their career in finance in 2018. Hao has worked at 1 firm and has passed the Series 63, Series 57TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Hao Lu's 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®
NoneExperience
Current
August 12, 2018 - Present
PUMA CAPITAL, LLC
Office #1: 555 Theodore Fremd Avenue Suite C204, Rye, NY 10520BD
CRD#: 146744
Rye, NY
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
New York(9/14/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 11/9/2024
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
PC
PUMA CAPITAL, LLC
PUMA CAPITAL, LLC
CRD#: 146744 / SEC#: , 8-67849
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
555 Theodore Fremd Avenue Suite C204, Rye, NY 10580
Mailing Address
555 Theodore Fremd Avenue Suite C204, Rye, NY 10580
Phone number
(212) 269-4100
Established
Florida since 02/09/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
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.
