Robert C. 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.
Robert Clayton Lau, who also goes by Bob Lau, Robert Clayton Lau Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 29 firms and has passed the Series 63, Series 65, Series 82TO, Series 72, Series 22TO, Series 79TO, Series 6TO, Series 7TO, Series 99TO, SIE, Series 87, Series 3, Series 1, Series 10, Series 28, Series 9, Series 26, Series 39, Series 24, Series 14, Series 53, Series 4, Series 27, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2021 - May 22, 2025
UTILITY CAPITAL PARTNERS, LLC
June 9, 2011 - December 6, 2011
MAGELLAN GLOBAL ADVISORS INC.
March 11, 2011 - April 4, 2025
SB1 CAPITAL MARKETS INC
February 15, 2011 - May 11, 2011
AMA SECURITIES LLC
October 9, 2008 - October 1, 2010
BERINGER FINANCE US INC.
May 24, 2000 - March 13, 2001
IPOMARKET.COM
May 16, 1997 - July 10, 2007
CARLTON CAPITAL INC.
April 3, 1996 - June 5, 1997
FIRST COLONIAL SECURITIES
April 4, 1995 - February 12, 1996
MOORS & CABOT, INC.
December 22, 1994 - April 5, 1995
MORGAN STANLEY DW INC.
January 4, 1994 - December 14, 1994
KIDDER, PEABODY & CO. INCORPORATED
June 10, 1992 - January 1, 1994
FIRST AFFILIATED SECURITIES
March 1, 1991 - June 12, 1992
CLARK MELVIN SECURITIES CORPORATION
October 25, 1989 - December 6, 1990
SWISSUS INVESTMENT CORPORATION
August 17, 1988 - October 20, 1989
BRICKELL INVESTMENT BANKING CORPORATION
February 29, 1988 - March 16, 1988
SOCHET & COMPANY, INC.
February 29, 1988 - August 29, 1988
GS2 SECURITIES, INC.
January 28, 1988 - April 27, 1988
ALPINE BROKER SERVICES CORP.
July 27, 1987 - January 22, 1988
FIRST EQUITY CORPORATION OF FLORIDA
June 12, 1985 - September 19, 1985
SOARES FINANCIAL GROUP, INC.
August 19, 1982 - July 22, 1987
RCL SECURITIES CORPORATION
December 17, 1981 - June 3, 1982
ROSS, STEBBINS INC.
January 23, 1981 - October 20, 1981
BOETTCHER & COMPANY, INC.
November 9, 1979 - January 1, 1981
CIBC WORLD MARKETS CORP.
June 20, 1979 - December 27, 1979
ANFS, INC.
June 15, 1979 - December 27, 1979
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
December 29, 1978 - April 19, 1979
BERNARD HEROLD & CO., INC.
December 2, 1974 - March 25, 1978
THOMSON MCKINNON SECURITIES INC.
June 9, 1970 - February 13, 1975
E. F. HUTTON & COMPANY INC
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
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 7/9/1957
Registered Representative ExaminationSeries 28
Date: 1/2/2023
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 40
Date: 3/26/1969
Registered Principal ExaminationSeries 12
Date: 3/12/1969
NYSE Branch Manager ExaminationCurrent Firm
UTILITY CAPITAL PARTNERS, LLC
CRD#: 312158 / SEC#: , 8-70639
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
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.
