Sammy C. Lai
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.
Sammy Chihsan Lai, who also goes by Sammy Chih San Lai, was a registered financial professional .
Sammy is a previously registered financial professional and started their career in finance in 1998. Sammy had worked at 6 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2014 - October 5, 2015
TRIPLE A PARTNERS LLC
June 15, 2012 - November 1, 2013
INNOVATION CAPITAL, LLC
January 2, 2002 - December 24, 2008
LIBRA SECURITIES, LLC
July 11, 2001 - December 31, 2001
U.S. BANCORP INVESTMENTS, INC.
March 3, 2000 - March 26, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 23, 1998 - February 9, 2000
LAZARD FRERES & CO. 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
TRIPLE A PARTNERS LLC
CRD#: 142790 / SEC#: , 8-67485
Contact information
FINRA licenses (2 States and Territories)
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.
