Lilian Lo
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.
Lilian Lo, CFP®, who also goes by Ling Ling Lilian Lee, Ling Ling Lilian Lo, Ling Ling Lilian Lo, was a registered financial professional .
Lilian is a previously registered financial professional and started their career in finance in 2005. Lilian had worked at 9 firms and has passed the Series 66, SIE 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
Start date: 2014
Experience
November 6, 2017 - June 17, 2026
VIVALDI CAPITAL MANAGEMENT LP
July 7, 2016 - October 12, 2017
MARINER ADVISOR NETWORK
April 22, 2016 - July 7, 2016
STRATEGIC WEALTH ADVISORS GROUP
April 1, 2015 - September 8, 2016
LPL FINANCIAL LLC
March 30, 2015 - July 6, 2017
LPL FINANCIAL LLC
April 20, 2007 - April 2, 2015
STRATEGIC ADVISERS LLC
January 24, 2006 - February 17, 2006
FIDELITY BROKERAGE SERVICES LLC
January 24, 2006 - April 1, 2015
FIDELITY BROKERAGE SERVICES LLC
August 5, 2005 - February 3, 2006
SHELTON CAPITAL MANAGEMENT
August 3, 2005 - December 12, 2005
RFS PARTNERS
June 21, 2005 - July 14, 2005
A. G. EDWARDS & SONS, INC.
April 7, 2005 - July 14, 2005
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
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
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
Contact information
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,413 |
| AUM (Assets Under Management) | $ 4,647,085,822 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 07/22/2024 | ||
| 10/24/2023 |
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.
