Kaising Victor Lui

Employer firm

Gwn Securities Inc. CRD 128929

$4.75B regulatory AUM 54 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Market timing

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

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

Current Employers

Employment History

• 05/2011 → 06/2020
  Axa Advisors, Llc
  Los Angeles, CA
• 05/2011 → 06/2021
  Equitable Advisors, Llc
  New York, NY
• 06/2021 → Present
  Gwn Securities, Inc.
  Palm Beach Gardens, FL

Previous Registrations

• 2011-06-13 → 2021-07-20
  Equitable Advisors, Llc
  Los Angeles, CA
  Alhambra, CA
  Los Angeles, CA

Other Businesses

ELIT PRODUCTIONS POSITION: silent partner NATURE: Event coordinating, photography, videography INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2018 ADDRESS: 731 West Wilson Ave, Glendale CA 91203, United States DESCRIPTION: I am a silent owner with a financial investment in this company LA WEALTH PARTNERS Is Not Investment Related, "177 E COLORADO BLVD, Suite 200, Pasadena, CA, 91105, United States", Fixed Insurance and Annuity Business, Owner, 2021-06-21, 10 hours per month, 5 hours per month during trading hours, Commission Compensation, "When appropriate based on client's priorities and situation, the sale of Fixed Life insurance and fixed annuity products including: Term Life, UL, Whole Life, Indexed Universal Life, Fixed Annuities, Fixed Indexed Annuities and MYGAs" LA PENSION PLANNERS POSITION: Financial Professional NATURE: Financial Services INVESTMENT RELATED: Is Investment Related, START DATE: 2021-06-09, HOURS PER month: 160 hours per month, SECURITIES TRADING HOURS: 160 hours per month during trading hours, COMPENSATION: Commission Compensation DESCRIPTION: DBA related to Financial Services PENSION101 INVESTMENT RELATED: Is Not Investment Related, ADDRESS: "457 W Allen Ave, Suite 110, San Dimas, CA, 91773, United States", Pension Education and Lead Generation System, Co- Founder, 8/11/2025, 2 hours per month, 0 hours per month during trading hours DESCRIPTION: Passive partner providing insight on how the pension education platform should look

Exams

• S66 Uniform Combined State Law Examination
  2011-06-11

Designations

• Certified Financial Planner

Other Names

• Kaising Victor Liu
• Kai Lui
• Kaising Victor Lui
• Kaising Lui