Francine S Lai

Employer firm

Gerber Kawasaki Wealth & Investment Management CRD 153649

$4.11B regulatory AUM 10 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2010 → Present
  Gerber Kawasaki, Inc.
  Santa Monica, CA
• 10/2012 → 07/2021
  Lpl Financial Llc
  Santa Monica, CA

Other Businesses

(1) 10/22/2012 - GERBER KAWASAKI INSURANCE SERVICES - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Agent/Owner - Time Spent 20%. (2) 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.

Exams

• S66 Uniform Combined State Law Examination
  2010-12-15
• S63 Uniform Securities Agent State Law Examination
  2009-08-20

Designations

• Certified Financial Planner