AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SL

Siu L. Lundy

Some features on this profile are disabled
CRD#: 1748239
SL
Siu Lan Lundy

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.

Siu Lan Lundy, CFP®, who also goes by Siu Lan Kot, Siu L Kot, Siu Lan Kot, Siu Lan Lundy, Siu Lan Lundy, Siulan Lundy, was a registered financial professional .

Siu is a previously registered financial professional and started their career in finance in 1988. Siu had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 4 exams.

Aliases

Siu Lan Kot | Siu L Kot | Siu Lan Kot | Siu Lan Lundy | Siu Lan Lundy | Siulan Lundy

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.
1) SIU LAN LUNDY LLC DBA SLL COMPANY; Manager; The Limited Liability Company holds my real estate brokerage license; operating real estate buy/sell and management. My company also prepare individual and business tax returns, bookkeeping and business consulting. I intend to use this entity to market my Avantax business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 50; Started 10/07/2005; 4526 Kilauea Ave, Honolulu HI 96816, US: Day to day operation as the sole member of the business, meet with clients, work on books, tax return. Hiring contractor, managing tenants. Invoicing, bills paying. 2) RENTAL PROPERTIES POSITION: Owner NATURE: My family and I own two condo units and rented out to long term tenants. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/01/1992 ADDRESS: 4526 Kilauea Ave, Honolulu HI 96816, United States DESCRIPTION: I collect and deposit monthly rent income. Pay maintenance and tax on the income. Occasional schedule repair for the units. When tenants move out, I'd post vacancy online and screen for new tenants. 3) SLL COMPANY POSITION: Manager NATURE: Siu Lan lundy LLC is registered with the state of Hawaii holds Real Estate brokerage. Operate under the name of SLL Company, SLL buy/sell real estate as agent for clients, also manage rental properties. SLL also prepare taxes and account/bookkeeping services INVESTMENT RELATED: No NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 60 START DATE: 01/01/2006; 4526 Kilauea Ave, Honolulu HI 96816, I, as the sole member of Siu Lan Lundy LLC, work as agent for clients in the real estate business, manage all transaction. As an enrolled agent, I prepare taxes (personal, business fiduciary, periodic payroll and excise taxes), bookkeeping for about 5 businesses. I interview clients, occasionally visit clients; pick up and drop off. During tax season, I also work for other CPA firms as consultant. 4) KDL CPAS LLC POSITION: tax accountant NATURE: tax preparation INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2023 ADDRESS: 1123 11th Avenue, Honolulu HI 96816, United States DESCRIPTION: Firm collected client's tax data and compiled ready for preparation. On a seasonal basis, I work on collected data and prepare personal and business returns. Occasional contact clients for their tax account.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

Certified Financial Planner

Start date: 1992

Experience

Past

August 11, 2022 - October 24, 2024

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Honolulu, HI
Past

August 11, 2022 - October 24, 2024

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Honolulu, HI
Past

December 6, 2019 - December 21, 2020

STONEX SECURITIES INC.

BD
CRD#: 18456
HONOLULU, HI
Past

March 29, 1993 - December 6, 2019

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

June 25, 1988 - December 31, 1991

STOCKCROSS FINANCIAL SERVICES, INC.

BD
CRD#: 6670
BEVERLY HILLS, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

What does exam status mean?
State Security Law Exam
PR
Series 63
Status Unavailable
Passed: 3/18/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
PR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
PR
Series 7
Status Unavailable
Passed: 2/20/1988
General Securities Representative Examination
Principal/Supervisory Exam
PR
Series 4
Status Unavailable
Passed: 7/6/1989
Registered Options Principal Examination

Current Firm

AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES

CRD#: 104556 / SEC#: 801-29892

Loading...

Contact information

Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)
AAS ADV PART 2A APPENDIX WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts140,306
AUM (Assets Under Management)$ 46,109,939,749

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024
Cover Page
Report
11/28/2023
Cover Page
Report

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.

Company Information

AVANTAX ADVISORY SERVICES

CRD#: 104556

TRUST BUT VERIFY

Monitor Siu Lundy

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
HELENA, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
ESTERO, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.