John Lu is a registered investment advisor at Cetera Investment Advisers LLC, based in New York, NY, with 17 years of industry experience. John 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
235 Fifth Ave, New York, NY, 10016
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cetera Investment Services LLCBroker
January 2026 - Present · 6 mos
Cetera Investment Advisers LLC
January 2026 - Present · 6 mos
Previous Registrations
J.P. Morgan Securities LLC
May 2016 - July 2025 · 9 yrs 2 mos
J.P. Morgan Securities LLCBroker
May 2016 - July 2025 · 9 yrs 2 mos
Hsbc Securities (USA) INC.
October 2014 - March 2016 · 1 yr 5 mos
Hsbc Securities (USA) INC.Broker
October 2014 - March 2016 · 1 yr 5 mos
Transamerica Financial Advisors, INC.
March 2014 - October 2014 · 7 mos
Transamerica Financial Advisors, INCBroker
March 2014 - October 2014 · 7 mos
World Group Securities, INC.Broker
October 2010 - December 2010 · 2 mos
Chase Investment Services CORP.
March 2008 - October 2009 · 1 yr 7 mos
Chase Investment Services CORP.Broker
April 2004 - October 2009 · 5 yrs 6 mos
Continental Broker-Dealer CORP.Broker
June 2002 - November 2002 · 5 mos
State Registrations7 states
CADCFLNJNYPATX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.