YL
Yi Lu
SCOTIA CAPITAL (USA)
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 7406845
YL
Professional summary
Yi Lu, who also goes by Lucy Lu, is a registered financial professional currently at SCOTIA CAPITAL (USA) INC. located in New York, New York.
Yi is registered as a RR (Registered Representative) and started their career in finance in 2021. Yi has worked at 3 firms and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lucy 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.
CRS (Client Relationship Summary) - BD
Click below to view Yi 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
May 18, 2023 - Present
SCOTIA CAPITAL (USA) INC.
Office #1: 250 Vesey Street, New York, NY 10281BD
CRD#: 2739
NEW YORK, NY
Past
July 25, 2022 - March 26, 2023
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
August 16, 2021 - August 13, 2022
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
NEW YORK, 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
Alabama(5/18/2023)
RR
Alaska(5/18/2023)
RR
Arizona(5/18/2023)
RR
Arkansas(5/18/2023)
RR
California(5/18/2023)
RR
Colorado(5/18/2023)
RR
Connecticut(5/18/2023)
RR
Delaware(5/18/2023)
RR
District of Columbia(5/18/2023)
RR
Florida(5/18/2023)
RR
Georgia(5/18/2023)
RR
Hawaii(5/18/2023)
RR
Idaho(5/18/2023)
RR
Illinois(5/18/2023)
RR
Indiana(5/18/2023)
RR
Iowa(5/18/2023)
RR
Kansas(5/18/2023)
RR
Kentucky(5/18/2023)
RR
Louisiana(5/18/2023)
RR
Maine(5/18/2023)
RR
Maryland(5/18/2023)
RR
Massachusetts(5/18/2023)
RR
Michigan(5/18/2023)
RR
Minnesota(5/18/2023)
RR
Mississippi(5/18/2023)
RR
Missouri(5/18/2023)
RR
Montana(5/18/2023)
RR
Nebraska(5/18/2023)
RR
Nevada(5/18/2023)
RR
New Hampshire(5/18/2023)
RR
New Jersey(5/18/2023)
RR
New Mexico(5/18/2023)
RR
New York(5/18/2023)
RR
North Carolina(5/18/2023)
RR
North Dakota(5/18/2023)
RR
Ohio(5/19/2023)
RR
Oklahoma(5/18/2023)
RR
Oregon(5/18/2023)
RR
Pennsylvania(5/18/2023)
RR
Puerto Rico(5/18/2023)
RR
Rhode Island(5/18/2023)
RR
South Carolina(5/18/2023)
RR
South Dakota(5/18/2023)
RR
Tennessee(5/18/2023)
RR
Texas(5/18/2023)
RR
Utah(5/18/2023)
RR
Vermont(5/18/2023)
RR
Virginia(5/18/2023)
RR
Washington(5/18/2023)
RR
West Virginia(5/18/2023)
RR
Wisconsin(5/18/2023)
RR
Wyoming(5/18/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 8/16/2021
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SCOTIA CAPITAL (USA) INC.
HOWARD WEIL (A DIVISION OF SCOTIABANK) | SCOTIAMCLEOD (USA) INC. | SCOTIA HOWARD WEIL | SCOTIA CAPITAL MARKETS (USA) INC. | SCOTIA CAPITAL (USA) INC. | MCLEOD YOUNG WEIR INCORPORATED
CRD#: 2739 / SEC#: , 8-3716
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
250 Vesey Street, New York, NY 10281
Mailing Address
250 Vesey Street, New York, NY 10281
Phone number
(212) 225-6500
Established
New York since 11/25/1939
Firm type
Corporation
Fiscal year end
October
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCOTIA HOLDINGS (USA) LLC | SOLE SHAREHOLDER | |
| ATTIA, MONCEF | BOARD MEMBER | 4852031 |
| DUSSEAU, SEAN MICHAEL | CHIEF OPERATING OFFICER & BOARD MEMBER | 6628832 |
| GALANTE, ANTHONY JAMES | CHIEF FINANCIAL OFFICER | 2168905 |
| GEORGALAS, ANDREAS ZANIS | CHIEF LEGAL OFFICER | 4769326 |
| GOHMAN, BENJAMIN E | BOARD MEMBER | 4835406 |
| KAUSHIK, KSHAMTA | CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7523252 |
| KHAN, ARIF KAMAL | CHIEF COMPLIANCE OFFICER | 5011278 |
| NATHANSON, GARY | BOARD MEMBER | 4825746 |
| PATEL, HEMANG | CHIEF OPERATIONS OFFICER | 8032984 |
| WANG, ELSA YI-HUI | BOARD MEMBER | 5984605 |
| WILSON, MARC-ANDRE | BOARD MEMBER | 6455732 |
Disclosures
| Regulatory Event | 9 |
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.
