Louis M. Choi

PUBLIC RESOURCES ADVISORY GROUP

REDONDO BEACH, CA

Some features on this profile are disabled

CRD#: 4465453

Professional summary

Louis Man-tai Choi is a registered financial advisor currently at PUBLIC RESOURCES ADVISORY GROUP located in Redondo Beach, California.

Louis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Louis has worked at 3 firms and has passed the Series 65, Series 63, Series 50, Series 7 and Series 54 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Man-tai Choi'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

December 19, 2006 - Present

PUBLIC RESOURCES ADVISORY GROUP

RIA

CRD#: 113338

REDONDO BEACH, CA

Past

June 9, 2004 - December 7, 2004

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

February 15, 2002 - April 1, 2004

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

California
(12/19/2006)

IAR

New York
(7/10/2021)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/18/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/12/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 50

Date: 2/11/2016

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7

Date: 2/14/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 54

Date: 4/8/2022

Municipal Advisor Principal Qualification Examination

Current Firm

PUBLIC RESOURCES ADVISORY GROUP

PUBLIC RESOURCES ADVISORY GROUP | PUBLIC RESOURCES ADVISORY GROUP, INC.

CRD#: 113338 / SEC#:

California

Registered Investment Advisory firm - (1/10/2001 Approved)

District of Columbia

Registered Investment Advisory firm - (2/9/2024 Terminated)

Florida

Registered Investment Advisory firm - (4/5/2006 Approved)

Maryland

Registered Investment Advisory firm - (3/26/2025 Terminated)

New York

Registered Investment Advisory firm - (5/14/2003 Approved)

Pennsylvania

Registered Investment Advisory firm - (3/31/2003 Approved)

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

39 Broadway Suite 1210, New York, NY 10006

Mailing Address

Phone number

(212) 566-7800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Louis M. Choi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Louis Man-tai Choi's CRS (Customer Relationship Summary).

Certified licenses

Experience

PUBLIC RESOURCES ADVISORY GROUP

BANC OF AMERICA SECURITIES LLC

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/2006

Series 63

Date: 6/12/2002

Series 50

Date: 2/11/2016

Series 7

Date: 2/14/2002

Series 54

Date: 4/8/2022

Current Firm

PUBLIC RESOURCES ADVISORY GROUP

Contact information

Documents

Red Flags

Company Information

PUBLIC RESOURCES ADVISORY GROUP

TRUST BUT VERIFY

Similar Advisors