XB
Xiaoxiao Bi
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
SANTA MONICA, CA 90405
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CRD#: 5868168
XB
Professional summary
Xiaoxiao Bi, who also goes by Shelley Bi, is a registered financial advisor currently at GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT located in Santa Monica, California.
Xiaoxiao is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Xiaoxiao has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shelley Bi
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. 11/29/2017 - WHEELER AND BI LLP, Santa Monica, CA - Investment Related - - Tax Prep/Accounting/CPA - MANAGING MEMBER/CPA - Start Date 11/2017 - 10 Hours Per Month / 0 Hours During Trading. 2. 11/29/2017 - SAFETOOL CORPORATION - Not Investment Related - Home Based - PRODUCT DEVELOPMENT AND SALES - SECRETARY - Start Date 5/1/2013 - 10 Hours Per Month / 0 Hours During Trading. 3. 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.
CRS (Client Relationship Summary) - RIA
Click below to view Xiaoxiao Bi'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
July 31, 2019 - Present
GERBER KAWASAKI WEALTH & INVESTMENT MANAGEMENT
Office #1: 2800 28th Street Suite 208, Santa Monica, CA 90405RIA
CRD#: 153649
SANTA MONICA, CA
Past
November 29, 2017 - May 4, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
SHERMAN OAKS, CA
Past
November 29, 2017 - June 14, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
SHERMAN OAKS, CA
Past
February 3, 2014 - November 29, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
SHERMAN OAKS, CA
Past
July 23, 2013 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
SHERMAN OAKS, 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".
GK
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)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(7/31/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
GK
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)Upgrade to AdvisorCheck Premium
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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
54
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,238 |
| AUM (Assets Under Management) | $ 3,191,645,341 |
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.
