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LL

Luan K. Ly

Some features on this profile are disabled
CRD#: 5628053
LL

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.

Luan Kien Ly was a registered financial professional .

Luan is a previously registered financial professional and started their career in finance in 2009. Luan had worked at 2 firms and has passed the Series 63, SIE, Series 79TO and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 17, 2020 - January 10, 2022

GENERATIONAL CAPITAL MARKETS INC.

BD
CRD#: 145869
RICHARDSON, TX
Past

February 24, 2015 - November 10, 2015

GENERATIONAL CAPITAL MARKETS INC.

BD
CRD#: 145869
IRVINE, CA
Past

September 23, 2009 - March 20, 2013

SCOTTRADE, INC.

BD
CRD#: 8206
DALLAS, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/17/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/12/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/2009
General Securities Representative Examination

Current Firm

GC
GENERATIONAL CAPITAL MARKETS INC.
GENERATIONAL CAPITAL MARKETS INC. | ZURICH CAPITAL PARTNERS, INC

CRD#: 145869 / SEC#: , 8-67761

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
3400 N. Central Expressway Suite 100, Richardson, TX 75082
Mailing Address
3400 N. Central Expressway Suite 100, Richardson, TX 75082
Phone number
(972) 448-1000
Established
Nevada since 08/23/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GENERATIONAL CAPITAL, LLC.SOLE SHAREHOLDER
HECKERT, CHRISTOPHER FRANKSUPERVISING PRINCIPAL4734607
HOFSTADTER, BRENEN MICHAELPRESIDENT, SUPERVISING PRINCIPAL AND CHIEF COMPLIANCE OFFICER4296591
STERLING, DONALD WILLIAMFINOP/CFO/PFO/POO1192425

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.

Company Information

GENERATIONAL CAPITAL MARKETS INC.

CRD#: 145869

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