Alexandra S. Lui
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alexandra Suk Ling Lui was a registered financial professional .
Alexandra is a previously registered financial professional and started their career in finance in 1984. Alexandra had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2000 - November 27, 2019
QUEST CAPITAL STRATEGIES, INC.
May 10, 1991 - October 19, 2000
FINBAR SECURITIES CORP.
January 18, 1989 - May 14, 1991
GOODLIN FINANCIAL, INC.
July 6, 1984 - January 23, 1989
NATIONAL SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
