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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 →Lu is the 100% owner, President, and Chief Compliance Officer of Vanquour, LLC, a registered investment advisory firm, since November 2021. Lu dedicates a full-time workload to overseeing a book of clients and managing financial advisors, with a few hours per week during trading hours.