Myron Y. Mau
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.
Myron Yau Leong Mau, who also goes by Myron Y Mau, Myron Yauleong Mau, was a registered financial professional .
Myron is a previously registered financial professional and started their career in finance in 1989. Myron had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2016 - June 30, 2017
FORESTERS EQUITY SERVICES, INC.
December 1, 2008 - November 30, 2015
SCF SECURITIES, INC.
December 1, 2006 - December 1, 2008
QUESTAR CAPITAL CORPORATION
November 2, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
June 10, 2002 - November 2, 2004
INTERVEST INTERNATIONAL EQUITIES CORPORATION
February 16, 2001 - June 10, 2002
CONSECO SECURITIES, INC.
April 17, 1993 - February 23, 2001
PRUCO SECURITIES, LLC.
December 14, 1989 - August 4, 1992
WADDELL & REED
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
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
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.
