Alan 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.
Alan Shihgar Lui, who also goes by Alan S Lui, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1989. Alan had worked at 8 firms and has passed the Series 63, Series 55, Series 7, Series 4, Series 27 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
February 6, 2013 - September 24, 2014
KEY WEST INVESTMENTS, LLC
February 6, 2013 - September 24, 2014
KEY WEST INVESTMENTS, LLC
February 14, 2005 - December 31, 2012
GOLDEN BENEFICIAL SECURITIES CORPORATION
February 8, 2005 - December 15, 2005
GLENDALE SECURITIES, INC.
March 9, 1995 - August 19, 2009
RICHAVE FINANCIAL, INC.
April 19, 1994 - September 29, 2000
U. S. PACIFIC FINANCIAL SERVICES, INC.
October 25, 1993 - February 26, 1997
PRAGER & CO., LLC
October 26, 1992 - April 15, 1994
HANMI SECURITIES, INC.
April 6, 1989 - November 21, 1990
PACIFIC SELECT DISTRIBUTORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 3/14/2001
Limited Representative-Equity Trader ExamCurrent Firm
KEY WEST INVESTMENTS, LLC
CRD#: 149418 / SEC#: , 8-68166
Contact information
Disclosures
| Regulatory Event | 2 |
Red Flags
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