Ming-fai Lai

UNITED FIRST PARTNERS LLC

New York, NY 10019

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CRD#: 2943005

Professional summary

Ming-fai Lai, who also goes by Mingfai Lai, Lai Ming-fai, is a registered financial professional currently at UNITED FIRST PARTNERS LLC located in New York, New York.

Ming-fai is registered as a RR (Registered Representative) and started their career in finance in 1997. Ming-fai has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mingfai Lai | Lai Ming-Fai

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) - BD

Click below to view Ming-fai Lai's CRS (Customer Relationship Summary).

Certified licenses

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

None

Experience

Current

June 25, 2018 - Present

UNITED FIRST PARTNERS LLC

Office #1: 3 Columbus Circle Suite 1730, New York, NY 10019

CRD#: 155456

New York, NY

Past

July 8, 2013 - May 18, 2018

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

November 12, 2009 - July 15, 2013

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 22, 2008 - August 12, 2009

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

October 21, 1999 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 19, 1999 - October 27, 1999

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 17, 1997 - March 24, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(1/17/2020)

New York
(1/13/2020)

Exams

State Security Law Exam

Series 63

Date: 9/17/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/22/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/16/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/22/2014

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 1/15/2008

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/23/2007

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

UNITED FIRST PARTNERS LLC

CRD#: 155456 / SEC#: , 8-68718

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

3 Columbus Circle Suite 1730, New York, NY 10019

Mailing Address

3 Columbus Circle Suite 1730, New York, NY 10019

Phone number

(917) 836-8841

Established

New York since 08/31/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (14 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HADJEDJ, MICHAEL SIMON	PRESIDENT, ELECTED MANAGER	5854635
MARDEL, STEPHANE CHARLES	CO-PRESIDENT	5854634
DICKERSON, ELIZABETH ANNE	CHIEF COMPLIANCE OFFICER	1917497
DOHERTY, JAMES HUGH	PRINCIPAL OPERATIONS OFFICER	4197747
SINELNIKOV, PETER SERGEY	PRINCIPAL FINANCIAL OFFICER	6493208
UNITED FIRST PARTNERS HOLDINGS, LLC	SOLE MEMBER

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Ming-fai Lai

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ming-fai Lai's CRS (Customer Relationship Summary).

Certified licenses

Experience

JEFFERIES LLC

CITIGROUP GLOBAL MARKETS INC.

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/17/1997

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 5/22/2006

Series 7

Date: 9/16/1997

Series 24

Date: 12/22/2014

Series 10

Date: 1/15/2008

Series 9

Date: 7/23/2007

FINRA

Current Firm

UNITED FIRST PARTNERS LLC

Contact information

FINRA licenses (14 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

UNITED FIRST PARTNERS LLC

TRUST BUT VERIFY

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