Francine S. Lai

GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

SANTA MONICA, CA 90405

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CRD#: 5444668

Professional summary

Francine S Lai, CFP® is a registered financial advisor currently at GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT located in Santa Monica, California.

Francine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Francine has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.

(1) 10/22/2012 - GERBER KAWASAKI INSURANCE SERVICES - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Agent/Owner - Time Spent 20%. (2) GK Tax and Accounting, Santa Monica, CA; not investment related; provides and accounting services; Financial Advisor, refer clients to tax and accounting department and be the liaison between client and CPA. Start date: January 2021; I devote 5 hours per month to this business; 0 hours during securities trading hours. I refer clients to GK Tax and Accounting and I am a liaison between the client and CPA, financial planning advice.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francine S Lai'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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

January 12, 2011 - Present

GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

Office #1: 2716 Ocean Park Blvd #2020-2022, Santa Monica, CA 90405

RIA

CRD#: 153649

SANTA MONICA, CA

Past

October 22, 2012 - July 20, 2021

LPL FINANCIAL LLC

CRD#: 6413

SANTA MONICA, CA

Past

August 11, 2009 - October 24, 2012

OSAIC SERVICES, INC.

CRD#: 133763

SANTA MONICA, CA

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".

GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

GERBER KAWASAKI FINANCIAL ADVISORS | GERBER, ROSS | GERBER KAWASAKI, INC. | GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

CRD#: 153649 / SEC#: 801-79339

RIA

Registered Investment Advisory firm - (3/14/2014 Approved)

California

Registered Investment Advisory firm - (4/17/2014 Terminated)

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).

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
(1/12/2011)

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 66

Date: 12/15/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/20/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/10/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/10/2009

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

GERBER KAWASAKI FINANCIAL ADVISORS | GERBER, ROSS | GERBER KAWASAKI, INC. | GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

CRD#: 153649 / SEC#: 801-79339

RIA

Registered Investment Advisory firm - (3/14/2014 Approved)

California

Registered Investment Advisory firm - (4/17/2014 Terminated)

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Contact information

Main Address

2437 Main Street, Santa Monica, CA 90405

Mailing Address

Phone number

(310) 399-6397

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GERBER KAWASAKI, INC. ADV BROCHURE (5/12/2025)

Regulatory assets under management

Total Number of Accounts	17,238
AUM (Assets Under Management)	$ 3,191,645,341

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Francine S. Lai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francine S Lai's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

OSAIC SERVICES, INC.

Primary Firm SEC Registration

GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 12/15/2010

Series 63

Date: 8/20/2009

SIE

Date: 10/1/2018

Series 7

Date: 6/10/2010

Series 6

Date: 8/10/2009

Current Firm

GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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