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JL

Jason K. Lieu

KA ASSOCIATES
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 6257610
JL

Professional summary

Jason Keene Lieu is a registered financial professional currently at KA ASSOCIATES, LLC located in Los Angeles, California.

Jason is registered as a RR (Registered Representative) and started their career in finance in 2014. Jason has worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 99 and Series 24 exams.

top-8-questions

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) - BD

Click below to view Jason Keene Lieu'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

January 30, 2014 - Present

KA ASSOCIATES, LLC

Office #1: 2121 Avenue Of The Stars 9th Floor, Los Angeles, CA 90067Office #2: 2121 Avenue Of The Stars Ninth Floor, Los Angeles, CA 90067
BD
CRD#: 32029
Los Angeles, CA

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: 8/2/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99
Date: 1/30/2014
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/26/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KA
KA ASSOCIATES, LLC
KA ASSOCIATES, INC. | KA ASSOCIATES, LLC

CRD#: 32029 / SEC#: , 8-45640

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

Main Address
2121 Avenue Of The Stars 9th Floor, Los Angeles, CA 90067
Mailing Address
2121 Avenue Of The Stars 9th Floor, Los Angeles, CA 90067
Phone number
(310) 282-7900
Established
Nevada since 05/10/2024
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (35 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KAYNE, RICHARD ALANSHAREHOLDER
KAYNE ANDERSON CAPITAL ADVISORS LPSHAREHOLDER104536
O'NEIL, MICHAEL JOSEPH JRPRESIDENT, CHIEF COMPLIANCE OFFICER, AND SECRETARY6043576
STAPLETON, PAUL FRANCISFINOP, CFO, PFO, POO, AND TREASURER4848451

Disclosures

Regulatory Event1

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

KA ASSOCIATES, LLC

CRD#: 32029Los Angeles, CA 90067

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