Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gene? Claim Your ProfileGene Ko is a financial advisor with over 20 years of experience in the financial services industry. Gene is currently registered with LPL Financial LLC and is licensed to provide financial advice in California and Nevada. Gene has previously worked with BANCWEST INVESTMENT SERVICES, INC., CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, BANC OF AMERICA INVESTMENT SERVICES, INC., and BA INVESTMENT SERVICES, INC.
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.
Guidance on pension options to ensure a secure financial future.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
07/19/2023 - Present
LPL Financial LLC (Newport Beach CA)
CA
03/17/2021 - 07/19/2023
BANCWEST INVESTMENT SERVICES, INC. (Newport Beach CA)
CA
05/29/2007 - 03/03/2021
CITIGROUP GLOBAL MARKETS INC. (Burbank CA)
CA
10/22/2004 - 05/29/2007
CITICORP INVESTMENT SERVICES (ROWLAND HEIGHTS CA)
MA
08/17/2001 - 10/05/2004
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
04/02/1997 - 08/07/1998
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
BOTH
Issued 12/23/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/21/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/05/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/14/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/06/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/2001
Series 7 - General Securities Representative Examination
BC
Issued 04/01/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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