Thomas W. 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.
Thomas W Lau, who also goes by Wai Kwong Lau, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1990. Thomas had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2008 - December 31, 2008
WHITE PACIFIC SECURITIES, INC.
March 29, 2007 - December 31, 2014
LAU & WINANS INTERNATIONAL, LLC
February 25, 2005 - February 3, 2006
CITICORP INVESTMENT SERVICES
February 25, 2005 - February 3, 2006
CITICORP INVESTMENT SERVICES
June 3, 2003 - February 7, 2005
J.P. MORGAN SECURITIES LLC
June 3, 2003 - February 7, 2005
J.P. MORGAN SECURITIES LLC
November 17, 1999 - May 5, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 1994 - October 18, 1999
CITICORP INVESTMENT SERVICES
March 11, 1994 - July 12, 1994
MORGAN STANLEY DW INC.
July 30, 1990 - March 15, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WHITE PACIFIC SECURITIES, INC.
CRD#: 42505 / SEC#: , 8-49936
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
Red Flags
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