Zhujie 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.
Zhujie Lu, who also goes by Jack Lu, was a registered financial professional .
Zhujie is a previously registered financial professional and started their career in finance in 2019. Zhujie had worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2020 - December 31, 2025
WAVE DIGITAL ASSETS LLC
June 8, 2020 - July 24, 2020
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
December 18, 2019 - July 24, 2020
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Primary Firm SEC Registration
WAVE DIGITAL ASSETS LLC
CRD#: 305726 / SEC#: 801-121282
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
Series 7TO
Date: 6/6/2020
General Securities Representative ExaminationCurrent Firm
WAVE DIGITAL ASSETS LLC
CRD#: 305726 / SEC#: 801-121282
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 351,570,475 |
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.
