Luis L. Hsu
Professional summary
Luis Li-te Hsu, who also goes by Luis Hsu, is a registered financial professional currently at J.K. FINANCIAL SERVICES, INC. located in Norco, California.
Luis is registered as a RR (Registered Representative) and started their career in finance in 2016. Luis has worked at 2 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Luis Li-te Hsu's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 25, 2023 - Present
J.K. FINANCIAL SERVICES, INC.
Office #1: 149 Cross Rail Lane Ste. 102, Norco, CA 92860June 7, 2019 - August 16, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 9, 2016 - July 25, 2018
TRANSAMERICA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/25/2023)
(8/28/2023)
(8/25/2023)
(9/14/2023)
(9/14/2023)
Exams
FINRA
Current Firm
J.K. FINANCIAL SERVICES, INC.
CRD#: 103728 / SEC#: , 8-52214
Contact information
FINRA licenses (7 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
