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FL

Fionna Lu

CAPITAL RESEARCH BROKERAGE SERVICES
Pasadena, CA 91105
Some features on this profile are disabled
CRD#: 7767356
FL

Professional summary

Fionna Lu is a registered financial professional currently at CAPITAL RESEARCH BROKERAGE SERVICES, LLC located in Pasadena, California.

Fionna is registered as a RR (Registered Representative) and started their career in finance in 2023. Fionna has worked at 1 firm and has passed the Series 63, Series 6TO and SIE exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Fionna 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

September 1, 2023 - Present

CAPITAL RESEARCH BROKERAGE SERVICES, LLC

Office #1: 15 S. Raymond Avenue Suite 200, Pasadena, CA 91105
BD
CRD#: 40823
Pasadena, CA

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
California
(9/1/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 3/29/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 8/31/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CR
CAPITAL RESEARCH BROKERAGE SERVICES, LLC
CAPITAL RESEARCH BROKERAGE SERVICES, LLC | THE OAKWOOD GROUP, LLC | THE OAKWOOD GROUP OF MICHIGAN, LLC

CRD#: 40823 / SEC#: , 8-49213

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

Main Address
15 S. Raymond Avenue Suite 200, Pasadena, CA 91105
Mailing Address
15 S. Raymond Avenue Suite 200, Pasadena, CA 91105
Phone number
(626) 844-1440
Established
North Carolina since 02/14/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 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#
ODELL, JOHN PATRICKMANAGING MEMBER/CHIEF COMPLIANCE OFFICER1908737

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

CAPITAL RESEARCH BROKERAGE SERVICES, LLC

CRD#: 40823Pasadena, CA 91105

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