Louis Kin Shing Lo

SWS ADVISORS

Columbus, OH 43240

Some features on this profile are disabled

CRD#: 1574965

Professional summary

Louis Kin Shing Lo, who also goes by Louis Kinshing, Louis Kin Shing Lo, is a registered financial advisor currently at SWS ADVISORS, INC. located in Columbus, Ohio and OMNI FINANCIAL SECURITIES, INC. located in Columbus, Ohio.

Louis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Louis has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Louis Kinshing | Louis Kin Shing Lo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

- I am the 100% owner of a rental property and have been for more than 20 years. I receive rental income from this venture and put in approximately 7-8 hours monthly during non-trading hours managing the property. Louis Kin Shing Lo does some tax preparation for individuals and local small businesses on a part time basis. He is self employeed. Louis Kin Shing Lo is a licensed insurance agent. From time to time, he will offer clients advice or products from those activities. Clients should be aware that these services pay a commission and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. SWS Advisors Inc. always acts in the best interest of the client; including the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of SWS Advisors Inc. in such individual's capacity as an insurance agent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Kin Shing Lo's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 18, 2020 - Present

SWS ADVISORS, INC.

Office #1: 1900 Polaris Parkway, Suite 450, Columbus, OH 43240

RIA

CRD#: 120054

Columbus, OH

Current

October 18, 2020 - Present

OMNI FINANCIAL SECURITIES, INC.

Office #1: 1900 Polaris Parkway, Suite 450, Columbus, OH 43240

CRD#: 29320

Columbus, OH

Past

February 1, 2011 - October 15, 2020

CETERA ADVISORS LLC

RIA

CRD#: 10299

CANTON, OH

Past

February 1, 2011 - October 15, 2020

CETERA ADVISORS LLC

CRD#: 10299

CANTON, OH

Past

January 11, 2008 - March 15, 2010

XTENT FINANCIAL GROUP, INC.

RIA

CRD#: 7854

CANTON, OH

Past

January 2, 2008 - January 20, 2011

XTENT FINANCIAL GROUP, INC.

CRD#: 7854

CANTON, OH

Past

January 28, 2004 - December 31, 2007

WRP INVESTMENTS, INC.

RIA

CRD#: 7365

CANTON, OH

Past

December 11, 1995 - December 31, 2007

WRP INVESTMENTS, INC.

CRD#: 7365

CANTON, OH

Past

October 24, 1986 - January 3, 1996

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

North Carolina
(10/29/2020)

Ohio
(10/18/2020)

IAR

Ohio
(10/18/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/18/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/23/1986

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SWS ADVISORS, INC.

MANEX ADVISORS, INC | SWS ADVISORS, INC.

CRD#: 120054 / SEC#:

Arizona

Registered Investment Advisory firm - (3/4/2016 Approved)

Florida

Registered Investment Advisory firm - (6/27/2019 Approved)

Illinois

Registered Investment Advisory firm - (5/5/2016 Approved)

Kentucky

Registered Investment Advisory firm - (12/31/2020 Terminated)

Maryland

Registered Investment Advisory firm - (12/21/2017 Terminated)

Ohio

Registered Investment Advisory firm - (3/5/2008 Approved)

Pennsylvania

Registered Investment Advisory firm - (2/25/2016 Approved)

Texas

Registered Investment Advisory firm - (10/25/2014 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1900 Polaris Parkway, Suite 450, Columbus, OH 43240

Mailing Address

Phone number

(614) 438-5300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	580
AUM (Assets Under Management)	$ 50,618,150

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.

Similar Advisors

Andrew Lehman

INSPIRE ADVISORS, LLC

IAR

Columbus, OH

James Bowman

JANNEY MONTGOMERY SCOTT LLC

IAR

Columbus (grandview), OH

Cody Anderson

J.P. MORGAN SECURITIES LLC

IAR

UPPER ARLINGTON, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Louis Kin Shing Lo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Kin Shing Lo's CRS (Customer Relationship Summary).

Certified licenses

Experience

OMNI FINANCIAL SECURITIES, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

XTENT FINANCIAL GROUP, INC.

XTENT FINANCIAL GROUP, INC.

WRP INVESTMENTS, INC.

WRP INVESTMENTS, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/18/2004

SIE

Date: 10/1/2018

Series 7

Date: 10/15/2009

Series 6

Date: 10/23/1986

FINRA

Current Firm

SWS ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SWS ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors