Luis Sy is a registered investment advisor, based in Los Angeles, CA, with 4 years of industry experience.
Location
333 S. Grand Avenue, 40th Floor, Los Angeles, CA, 90071
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Payden & Rygel DistributorsBroker
September 2022 - Present · 3 yrs 7 mos
Payden & Rygel
September 2022 - Present · 3 yrs 7 mos
Previous Registrations
Morgan Stanley
April 2021 - August 2022 · 1 yr 4 mos
Morgan StanleyBroker
April 2021 - August 2022 · 1 yr 4 mos
State Registrations1 state
CA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.