Gim F. Lau
Professional summary
Gim Fung Lau, who also goes by Gim Fung Lau, Gim Lau, is a registered financial professional currently at LFT SECURITIES, LLC located in New York, New York.
Gim is registered as a RR (Registered Representative) and started their career in finance in 1998. Gim has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gim Fung Lau's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 14, 2023 - Present
LFT SECURITIES, LLC
Office #1: 19 West 44th Street Suite 1000, New York, NY 10036August 4, 2017 - July 21, 2022
MORGAN STANLEY & CO. LLC
November 12, 1998 - December 16, 1999
PRUDENTIAL EQUITY GROUP, 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
(7/31/2023)
Exams
FINRA
Current Firm
LFT SECURITIES, LLC
CRD#: 290210 / SEC#: , 8-70015
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUMA FINANCIAL TECHNOLOGIES, LLC | OWNER, SOLE MEMBER | |
| BONACCI, TIMOTHY JOHN | PRESIDENT & CEO | 4194271 |
| JENKINS, ROBERT PATRICK | CHIEF FINANCIAL OFFICER | 6030790 |
| POGAN, DONALD | COO & POO | 5611677 |
| RUSSELL, SARAH DETLING | PRINCIPAL FINANCIAL OFFICER & FINOP | 6727189 |
| STACHE, PAUL GERARD | CHIEF COMPLIANCE OFFICER | 1170097 |
Red Flags
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