AL
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Allen Lu
24 Years of Experience
San Francisco, CA
1 DisclosureBroker
Allen Lu is a registered investment advisor at Cetera Investment Advisers LLC, based in San Francisco, CA, with 24 years of industry experience. Allen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
1301 Stockton St, San Francisco, CA, 94133
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Regulatory History (1)
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Criminal
August 2003Final Disposition
Employment History
Current Registrations
Cetera Investment Advisers LLC
February 2020 - Present · 6 yrs 7 mos
Cetera Investment Services LLCBroker
February 2020 - Present · 6 yrs 7 mos
Previous Registrations
TD Ameritrade, INC.
February 2018 - May 2019 · 1 yr 3 mos
TD Ameritrade, INC.Broker
February 2018 - May 2019 · 1 yr 3 mos
TD Ameritrade Investment Management, LLC
February 2018 - May 2019 · 1 yr 3 mos
Scottrade Investment Management
May 2017 - February 2018 · 9 mos
Scottrade, INC.Broker
February 2006 - February 2018 · 12 yrs
White Pacific Securities, INC.Broker
December 2002 - January 2006 · 3 yrs 1 mo
White Pacific Securities, INC.Broker
August 2000 - June 2002 · 1 yr 10 mos
State Registrations1 state
CA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.