Kai L. Leung
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.
Kai Luan Leung was a registered financial professional .
Kai is a previously registered financial professional and started their career in finance in 1997. Kai had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2003 - December 31, 2013
GLOBAL ONE CAPITAL, LLC.
January 29, 2002 - September 29, 2003
WELLS FARGO INVESTMENTS, LLC
January 15, 2002 - September 29, 2003
WELLS FARGO INVESTMENTS, LLC
March 5, 1997 - May 5, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GLOBAL ONE CAPITAL, LLC.
CRD#: 128203 / SEC#:
Contact information
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.
