Jeffrey M. Lau
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey Martin Lau, who also goes by Lau Martin Jeffrey Martin, Jeffery Martin Lau, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1986. Jeffrey had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 14, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2020 - May 18, 2022
TIFIN PRIVATE MARKETS LLC
May 28, 2008 - March 26, 2019
JEFFERIES LLC
November 25, 2003 - June 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 16, 2001 - April 9, 2003
CREDIT SUISSE SECURITIES (USA) LLC
July 21, 1994 - January 17, 2003
PERSHING LLC
June 4, 1992 - June 29, 1994
FINANCIAL SQUARE PARTNERS
April 11, 1988 - June 5, 1992
LEHMAN BROTHERS INC.
April 23, 1986 - April 11, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 10/25/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TIFIN PRIVATE MARKETS LLC
CRD#: 305935 / SEC#: , 8-70442
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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