EH
Ernest K. Hui
KESTRA ADVISORY SERVICES
MOUNTAIN VIEW, CA
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CRD#: 3144965
EH
Professional summary
Ernest Kwok Wai Hui, who also goes by Ernest Kwokwai Hui, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Mountain View, California and KESTRA INVESTMENT SERVICES, LLC located in Palo Alto, California.
Ernest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Ernest has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ernest Kwokwai Hui
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.
BALD EAGLE CITY POSITION: Co-Founder NATURE: Partner INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2022 ADDRESS: 1376 Ernestine Lane, Mountain View CA 94040, United States DESCRIPTION: This business would revolve around a few things: 1) Running a basketball club in my local community 2) organizing a league for other basketball clubs in the area a) procuring refs b) securing gym space c) marketing the league to get more participants d) procuring coaches for our club teams 3) Coaching for the club for specific teams (mostly those with my kid on it) HUI FAMILY PROPERTIES, LLC POSITION: limited member NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/12/2012 ADDRESS: 22822 Skyview Way, Laguna Niguel CA 92677, United States DESCRIPTION: Don't do anything. My Uncle and Father are the General Partners and make all decisions. FINANCIAL ARCHITECTS PARTNERS, LLC POSITION: Assistant Vice President, Portfolio Construction NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 650 START DATE: 05/16/2022 ADDRESS: 260 Sheridan Avenue, Suite 210, Palo Alto CA 94306, United States DESCRIPTION: Registered rep KESTRA ADVISORY SERVICES, LLC POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 40 START DATE: 05/16/2022 ADDRESS: 5707 Southwest Parkway, Building 2 Suite 400, Austin TX 78735, United States DESCRIPTION: investment advisory rep
CRS (Client Relationship Summary) - RIA
Click below to view Ernest Kwok Wai Hui'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®
NoneExperience
Current
July 26, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 260 Sheridan Ave Suite 210, Palo Alto, CA 94306RIA
CRD#: 283330
MOUNTAIN VIEW, CA
Current
July 26, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 260 Sheridan Ave Suite 210, Palo Alto, CA 94306BD
CRD#: 42046
Palo Alto, CA
Past
November 21, 2001 - May 2, 2022
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
PORTLAND, OR
Past
June 8, 2000 - October 1, 2001
TBG FINANCIAL
BD
CRD#: 26984
LOS ANGELES, CA
Past
October 27, 1999 - April 4, 2000
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
November 20, 1998 - September 30, 1999
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.RR
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
RR
California(7/26/2022)
IAR
California(7/26/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
