Tony C. Kai

AE FINANCIAL SERVICES

Oakland, CA 94609

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CRD#: 5124122

Professional summary

Tony Chunkeung Kai, who also goes by Chun-keung Kai, Tony Chun-keung Kai, is a registered financial professional currently at AE FINANCIAL SERVICES, LLC located in Oakland, California.

Tony is registered as a RR (Registered Representative) and started their career in finance in 2006. Tony has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chun-Keung Kai | Tony Chun-Keung Kai

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) - BD

Click below to view Tony Chunkeung Kai's CRS (Customer Relationship Summary).

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

August 21, 2020 - Present

AE FINANCIAL SERVICES, LLC

Office #1: 411 30th St 2nd Floor, Oakland, CA 94609

CRD#: 298608

Oakland, CA

Past

August 25, 2008 - September 21, 2020

LIBERTY GROUP, LLC

CRD#: 106036

OAKLAND, CA

Past

September 15, 2006 - August 18, 2008

UCB INVESTMENT SERVICES, INC.

CRD#: 125574

SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(8/21/2020)

Exams

State Security Law Exam

IAR

Series 65

Date: 2/11/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/23/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/14/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/5/2007

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/3/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

AE FINANCIAL SERVICES, LLC

CRD#: 298608 / SEC#: , 8-70214

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Mailing Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Phone number

(866) 363-9595

Established

Kansas since 08/14/2018

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
AE FS HOLDINGS, LLC	OWNER
CALLANAN, DAVID JAMES	CHIEF EXECUTIVE OFFICER	4237166
GOCHENOUR, JOLENE KAY	FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	6728358
PIERSON, MELISSA KAY	CHIEF COMPLIANCE OFFICER	1685017
SCHOLZ, SHAWN	PRESIDENT	2891167
WOLFE, DAVID ROBB	GENERAL COUNSEL AND SECRETARY	6603373

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.

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Advisor Monitoring

Firm Stability Insights

Tony C. Kai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tony Chunkeung Kai's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIBERTY GROUP, LLC

UCB INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/11/2013

Series 63

Date: 10/23/2006

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/14/2006

Series 53

Date: 10/5/2007

Series 24

Date: 7/3/2007

FINRA

Current Firm

AE FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

AE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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