John V. Lau
Professional summary
John Van Lau was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, John had worked at 5 firms, which includes CAL FED INVESTMENTS, SICOR SECURITIES INC, MARINER FINANCIAL SERVICES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 1997 - May 21, 1998
CAL FED INVESTMENTS
October 3, 1996 - August 13, 1997
SICOR SECURITIES INC
February 7, 1995 - September 30, 1996
MARINER FINANCIAL SERVICES, INC.
August 25, 1993 - February 6, 1995
IDS LIFE INSURANCE COMPANY
August 25, 1993 - February 6, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
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
CAL FED INVESTMENTS
CRD#: 19631 / SEC#: , 8-37706
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIBANK (WEST) FSB | DIRECT OWNER | |
| AVILA, STEVEN | ASSISTANT SECRETARY | |
| BENNETT, DAVID, W | FIRST VICE PRESIDENT & RISK MANAGEMENT OFFICER | |
| BERNOT, DEBORAH CHRISTINE | PRESIDENT (DIRECTOR) | 874079 |
| BRENNAN, EDWARD MICHAEL | FIRST VP | 1191425 |
| DANIELS, DONNA ROSS | DIRECTOR | 2457651 |
| DIAMOND, KIMBERLEY SUE | FIRST VP | 874757 |
| DOYLE, CHRYSTINE HARRIET | FIRST VP | 835739 |
| ELLER, JAMES ROBERT JR | SENIOR VP/CORPORATE SECRETARY | |
| FRONTIERO, PETER STEVEN | SENIOR VICE PRESIDENT | 1086141 |
| GIANATASIO, PATRICIA LOUISE | VP | 1136139 |
| GODBEY, MARSHALL RAY | FIRST VICE PRESIDENT | |
| HOAGLIN, MARK EDWARD | 1ST VP | 2699114 |
| JAMAL, MALIA LITTLE | 1ST VP | 1681671 |
| LANZNER, EDWARD HENRY | FIRST VICE PRESIDENT | 1327170 |
| LASALLE, JOHN FRANCIS | SENIOR VP | 1044909 |
| MAGUIRE, WILLIAM JOHN JR | DIRECTOR | 2040885 |
| MOON, CAROLYN ELIZABETH | FIRST VP | 1395727 |
| PERRELLA, VICTOR ANTHONY JR | SENIOR VICE PRESIDENT | |
| POOLE, ANNETTE SUE | VICE PRESIDENT | 2397264 |
| RICE, PETER ANTHONY | VP AND CHIEF FINANCIAL OFFICER | 1218517 |
| SANSOUCI, MICHA RENEE | 1ST VP | 2172834 |
| SPRENGER, STUART ANDREW | 1ST VICE PRESIDENT | 2142881 |
| TRAVALE, SALVATORE SAM | FIRST VP | 1114661 |
| TUCEI, RENEE N | EXECUTIVE VP AND TREASURER | 2585150 |
| VALESTRINO, GARY STEVEN | VP | 1174325 |
| WINCHEL, TANYA | VICE PRESIDENT |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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