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Ying Lu

Citigroup Global Markets INC.
12 Years of Experience
New York, NY
1 DisclosureBroker
View SEC Summary
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Ying Lu is a registered investment advisor at Citigroup Global Markets INC., based in New York, NY, with 12 years of industry experience. Ying is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, High Net Worth, and 3 more. Their firm serves 59,829 clients with $56B in assets under management.

Citigroup Global Markets INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2402 advisors
IM Fee
Planning only
Assets Under Management
$56.0B

Fee Structure

Citigroup Global Markets provides a comprehensive written financial plan at no direct fee to eligible clients of Citi Private Bank and Citi Global Wealth at Work. The service includes developing a financial profile, analyzing current financial position, and providing recommendations for education, retirement, estate planning, and other long-term goals.

One-Time Plan:$0
View Full SEC Brochure

Location

CWM Retail, Sales, 717 Avenue of the Americas, New York, NY, 10010

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History

Regulatory History (1)
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Employment Separation After Allegations
July 2016
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Other Business Activities

Ying manages a rental property with her husband since 2021. This activity requires minimal time and is investment-related.

Employment History
Current Registrations
Citigroup Global Markets INC.
October 2023 - Present · 3 yrs
Citigroup Global Markets INC.
October 2023 - Present · 3 yrs
Citigroup Global Markets INC.Broker
October 2023 - Present · 3 yrs
Previous Registrations
Cetera Investment Advisers LLC
July 2020 - September 2023 · 3 yrs 2 mos
Cetera Investment Services LLCBroker
July 2020 - September 2023 · 3 yrs 2 mos
Cetera Investment Advisers LLC
October 2018 - February 2020 · 1 yr 4 mos
Cetera Investment Services LLCBroker
May 2018 - February 2020 · 1 yr 9 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2014 - July 2016 · 1 yr 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2014 - July 2016 · 1 yr 8 mos
Hsbc Securities (USA) INC.
January 2014 - October 2014 · 9 mos
Hsbc Securities (USA) INC.Broker
January 2014 - October 2014 · 9 mos
Morgan Stanley
August 2013 - December 2013 · 4 mos
Morgan StanleyBroker
June 2013 - December 2013 · 6 mos
Wts Proprietary Trading Group LLCBroker
June 2011 - November 2012 · 1 yr 5 mos
State Registrations6 states
CACTNCNJNYPA
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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