Kaising V. Lui
GWN SECURITIES
Pasadena, CA 91105
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CRD#: 5898825
Professional summary
Kaising Victor Lui, CFP®, who also goes by Kaising VIctor Liu, Kai Lui, Kaising Lui, is a registered financial advisor currently at GWN SECURITIES INC. located in Pasadena, California.
Kaising is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Kaising has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kaising Victor Liu | Kai Lui | Kaising Lui
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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
CRS (Client Relationship Summary) - RIA
Click below to view Kaising Victor Lui's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kaising Victor Lui's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2016
Experience
Current
June 22, 2021 - Present
GWN SECURITIES INC.
Office #1: 177 East Colorado Blvd. Suite 200, Office 3055, Pasadena, CA 91105RIA
BD
CRD#: 128929
Pasadena, CA
Current
June 21, 2021 - Present
GWN SECURITIES INC.
Office #1: 177 East Colorado Blvd. Suite 200, Office 3055, Pasadena, CA 91105RIA
BD
CRD#: 128929
Pasadena, CA
Past
June 13, 2011 - July 20, 2021
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
LOS ANGELES, CA
Past
May 12, 2011 - July 20, 2021
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
LOS ANGELES, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GS
GWN SECURITIES INC.
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
RIA
Registered Investment Advisory firm - SEC (1/2/2004 Approved)Wyoming
Registered Investment Advisory firm - SEC (6/30/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/12/2025)
RR
California(6/21/2021)
IAR
California(6/22/2021)
RR
Florida(7/31/2025)
RR
Hawaii(11/22/2021)
RR
Massachusetts(5/15/2025)
RR
Michigan(8/4/2021)
RR
Missouri(8/18/2022)
RR
North Carolina(1/27/2025)
RR
Ohio(11/9/2021)
RR
Texas(9/21/2021)
RR
Utah(8/27/2025)
RR
Washington(8/29/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GWN SECURITIES INC.
GLOBAL WORLD NETWORK SECURITIES | GWN SECURITIES INC. | GLOBAL WORLD NETWORK SECURITIES INC.
CRD#: 128929 / SEC#: 801-62547, 8-66185
RIA
Registered Investment Advisory firm - SEC (1/2/2004 Approved)Wyoming
Registered Investment Advisory firm - SEC (6/30/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Mailing Address
11440 North Jog Road, Palm Beach Gardens, FL 33418-3764
Phone number
(561) 472-2700
Established
Florida since 05/12/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
744
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WORLD INVESTMENT NETWORK | OWNER | |
| BORNHEIMER, LAURA JEANETTE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/ROSFP | 1769643 |
| CORBIN, BRAD JEFFREY | SENIOR VICE PRESIDENT OF BUSINESS DEVELOPMENT AND MARKETING | 1754065 |
| RITTMAN, BARRY RICHARD | CFO FINOP VP | 1997994 |
| WALSH, DENIS STEPHEN | CEO/EXEC DIRECTOR/ MUNICIPAL PRINCIPAL, PRESIDENT | 1124278 |
| WALSH, MARY THERESE | SECRETARY | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 64,207 |
| AUM (Assets Under Management) | $ 3,650,274,405 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
