Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Agnes? Claim Your ProfileAgnes Lui is a registered representative with Goldman Sachs & Co. LLC. Agnes has over 5 years of experience in the financial services industry. Agnes has been registered in all 50 states plus the District of Columbia, Puerto Rico, and the Virgin Islands. Agnes is a Series 3, 7, and 66 licensed individual. Agnes's prior experience includes working with ICAPITAL MARKETS LLC, ICAPITAL SECURITIES, LLC and LPL FINANCIAL LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Execution charges, custody, management fee
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2
CA
01/17/2024 - Present
Goldman Sachs & Co. LLC (SAN FRANCISCO CA)
CA
11/30/2023 - 01/11/2024
ICAPITAL MARKETS LLC (Alamo CA)
CA
10/24/2022 - 11/30/2023
ICAPITAL SECURITIES, LLC (Alamo CA)
CA
07/02/2018 - 09/12/2022
LPL FINANCIAL LLC (IRVINE CA)
BOTH
Issued 11/10/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/12/2024
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/02/2018
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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