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Hui Lu

Transamerica Financial Advisors, LLC
23 Years of Experience
Saratoga, CA
1 DisclosureBrokerSells Insurance
View SEC Summary
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Hui Lu is a registered investment advisor at Transamerica Financial Advisors, LLC, based in Saratoga, CA, with 23 years of industry experience. Hui is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 42,735 clients with $2.1B in assets under management.

Transamerica Financial Advisors, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
1121 advisors
Number of Clients
42,735 clients
Average Client Portfolio
$49K average
Assets Under Management
$2.1B

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.75%

Maximum total annual program fees are up to 2.75% for TFA365 and third-party manager programs, and up to 2.0% for Transamerica ONE. Fees vary based on the specific program, model portfolios selected, and negotiations with your investment advisor representative.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1821 Saratoga Ave, Suite 290, Saratoga, CA, 95070

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2021
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Hui is involved in sales of insurance and non-insurance products for Transamerica Financial Advisors. He is also involved with Everland Investment, LLC, Maricopa One Investment, LLC, LU AND WANG CORP, Gold House Realty and Mortgage, and rental property, dedicating minimal time to each.

Employment History
Current Registrations
Transamerica Financial Advisors, LLC
July 2017 - Present · 9 yrs 3 mos
Transamerica Financial Advisors, LLCBroker
January 2012 - Present · 14 yrs 9 mos
Previous Registrations
World Group Securities, INC.Broker
January 2004 - January 2012 · 8 yrs
Fenb Securities, INC.Broker
May 2002 - February 2003 · 9 mos
State Registrations6 states
CADEMDMINEWA
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.
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