Wendy C. Lai

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CRD#: 2664364

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.

Wendy Chiwei Lai, CPWA® was a registered financial professional .

Wendy is a previously registered financial professional and started their career in finance in 1997. Wendy had worked at 6 firms and has passed the Series 66, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CPWA^®

Certified Private Wealth Advisor

Start date: 2012-04-09

Expire date: 2024-03-31

Experience

Past

May 19, 2008 - April 4, 2025

LNW

RIA

CRD#: 107341

SAN FRANCISCO, CA

Past

May 29, 2007 - March 17, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

PALO ALTO, CA

Past

May 29, 2007 - March 17, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

PALO ALTO, CA

Past

March 2, 2007 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

PALO ALTO, CA

Past

March 2, 2007 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

PALO ALTO, CA

Past

February 27, 2006 - October 27, 2006

THE PORTOLA GROUP INC

RIA

CRD#: 105359

MENLO PARK, CA

Past

February 10, 1998 - May 13, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MENLO PARK, CA

Past

January 14, 1998 - May 13, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 3, 1997 - July 14, 1997

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LNW

KARETSKY/WETHERBY ASSET MANAGEMENT | WETHERBY ASSET MANAGEMENT LLC | WETHERBY ASSET MANAGEMENT | LNW | LAIRD NORTON WETHERBY WEALTH MANAGEMENT, LLC

CRD#: 107341 / SEC#: 801-36445

RIA

Registered Investment Advisory firm - (4/27/1990 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/5/1998

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/13/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/28/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LNW

KARETSKY/WETHERBY ASSET MANAGEMENT | WETHERBY ASSET MANAGEMENT LLC | WETHERBY ASSET MANAGEMENT | LNW | LAIRD NORTON WETHERBY WEALTH MANAGEMENT, LLC

CRD#: 107341 / SEC#: 801-36445

RIA

Registered Investment Advisory firm - (4/27/1990 Approved)

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Contact information

Main Address

801 Second Avenue, Suite 1600, Seattle, WA 98104

Mailing Address

Phone number

(206) 464-5100

Established

Firm type

Fiscal year end

# of Employees

171

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LAIRD NORTON WETHERBY WEALTH MANAGEMENT LLC DECEMBER 2025 (12/3/2025)

Regulatory assets under management

Total Number of Accounts	6,068
AUM (Assets Under Management)	$ 12,230,221,045

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/20/2024	Cover Page	Report
01/25/2024	Cover Page	Report
02/24/2023	Cover Page	Report

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.

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Wendy C. Lai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

THE PORTOLA GROUP INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

Primary Firm SEC Registration

LNW

State Registrations and Notice Filings

Exams

Series 66

Date: 2/5/1998

Series 7

Date: 1/13/1998

Series 6

Date: 2/28/1997

Current Firm

LNW

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LNW

TRUST BUT VERIFY

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