De L. 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.
De Long Lau, who also goes by Delong Lau, De Long Liu, was a registered financial professional .
De is a previously registered financial professional and started their career in finance in 1995. De had worked at 3 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 1997 - June 1, 2015
INTEGRITY SECURITIES, INC.
December 2, 1996 - June 4, 1997
AMERIVET SECURITIES, INC.
November 28, 1995 - March 5, 1997
SUNLOGIC SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 8/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
INTEGRITY SECURITIES, INC.
CRD#: 41321 / SEC#: , 8-49370
Contact information
Documents
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.
