KK
Kelvin J. Kwan
LIBERTY WEALTH MANAGEMENT
Roseville, CA 95661
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CRD#: 5523072
KK
Professional summary
Kelvin J Kwan is a registered financial advisor currently at LIBERTY WEALTH MANAGEMENT, LLC located in Roseville, California and AE FINANCIAL SERVICES, LLC located in Roseville, California.
Kelvin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Kelvin has worked at 3 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 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.
Name of outside business or organization: AEFS - AE Financial Services, LLC Address: 2950 SW McClure Road, Topeka, KS Title: Registered Representative Description of outside business or organization: Investment-related, broker-dealer (Member FINRA/SIPC) Description of duties or responsibilities: Providing brokerage and securities sales and services. Start date: 08/2020 Hours devoted to OBA monthly: 5 during trading hours / 5 during non-trading hours Name of outside business or organization: Granite Bay Asset Management Group Address: 2404 Professional Drive, Roseville, CA 95661 Title: Financial Planner Description of outside business or organization: Investment-related financial services firm. Description of duties or responsibilities: Providing financial planning services. Start date: 07/2007 Hours devoted to OBA monthly: 0 during trading hours / 1 during non-trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Kelvin J Kwan'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
May 17, 2018 - Present
LIBERTY WEALTH MANAGEMENT, LLC
Office #1: 2404 Professional Drive, Roseville, CA 95661RIA
CRD#: 286001
Roseville, CA
Current
August 6, 2020 - Present
AE FINANCIAL SERVICES, LLC
Office #1: 2404 Professional Drive, Roseville, CA 95661BD
CRD#: 298608
Roseville, CA
Past
May 1, 2014 - October 10, 2018
LIBERTY GROUP, LLC
RIA
CRD#: 106036
ROSEVILLE, CA
Past
April 25, 2013 - August 25, 2020
LIBERTY GROUP, LLC
BD
CRD#: 106036
ROSEVILLE, CA
Past
March 8, 2010 - March 15, 2013
LIBERTY GROUP, LLC
BD
CRD#: 106036
OAKLAND, 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".
LW
LIBERTY WEALTH MANAGEMENT, LLC
GELORMINI FINANCIAL | VITA COMPANIES | MOORE FINANCIAL ADVICE | LIBERTY WEALTH MANAGEMENT, LLC | LIBERTY GROUP, LLC | LIBERTY GROUP | KILBY WEALTH STRATEGIES | GRANITE BAY ASSETS
CRD#: 286001 / SEC#: 801-112351
RIA
Registered Investment Advisory firm - (1/19/2018 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
IAR
California(5/17/2018)
RR
California(8/6/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LW
LIBERTY WEALTH MANAGEMENT, LLC
GELORMINI FINANCIAL | VITA COMPANIES | MOORE FINANCIAL ADVICE | LIBERTY WEALTH MANAGEMENT, LLC | LIBERTY GROUP, LLC | LIBERTY GROUP | KILBY WEALTH STRATEGIES | GRANITE BAY ASSETS
CRD#: 286001 / SEC#: 801-112351
RIA
Registered Investment Advisory firm - (1/19/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
411 30th Street 2nd Floor, Oakland, CA 94609
Mailing Address
Phone number
(510) 658-1880
Established
Firm type
Fiscal year end
# of Employees
21
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,896 |
| AUM (Assets Under Management) | $ 1,469,902,558 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LIBERTY WEALTH MANAGEMENT, LLC
CRD#: 286001Roseville, CA 95661TRUST BUT VERIFY
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