Jocelyn Lua is a registered investment advisor, based in E Rancho Dominguez, CA, with 3 years of industry experience.
Location
E Rancho Dominguez, CA
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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
Empower Financial Services, INC.
September 2023 - Present · 2 yrs 8 mos
Empower Advisory Group, LLC
September 2023 - Present · 2 yrs 8 mos
Empower Financial Services, INC.Broker
September 2023 - Present · 2 yrs 8 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
January 2023 - September 2023 · 8 mos
Wells Fargo Clearing Services, LLCBroker
August 2022 - September 2023 · 1 yr 1 mo
State Registrations45 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.