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1900 Polaris Parkway, Suite 450, Columbus, OH 43240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2020-10-18 |
Branch Locations
1900 Polaris Parkway, Suite 450, Columbus, OH 43240 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Advisors Llc | Denver | CO | 01/2013 | 09/2020 |
| Omni Financial Securities, Inc. | Columbus | OH | 10/2020 | Present |
| Sws Advisors, Inc. | Columbus | OH | 10/2020 | Present |
- I am the 100% owner of a rental property and have been for more than 20 years. I receive rental income from this venture and put in approximately 7-8 hours monthly during non-trading hours managing the property. Louis Kin Shing Lo does some tax preparation for individuals and local small businesses on a part time basis. He is self employeed. Louis Kin Shing Lo is a licensed insurance agent. From time to time, he will offer clients advice or products from those activities. Clients should be aware that these services pay a commission and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a registered investment adviser. SWS Advisors Inc. always acts in the best interest of the client; including the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of SWS Advisors Inc. in such individual's capacity as an insurance agent.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2004-05-18 |
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