Frank S. Lay
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.
Frank Shoufung Lay, who also goes by Frank S Lay, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1972. Frank had worked at 17 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2006 - September 4, 2012
KUHNS BROTHERS SECURITIES CORPORATION
June 20, 2006 - October 6, 2006
LAIDLAW & COMPANY (UK) LTD.
July 11, 2002 - September 21, 2004
GUNNALLEN FINANCIAL, INC
February 25, 2002 - July 10, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 26, 2001 - February 20, 2002
VANGUARD CAPITAL
November 4, 1996 - October 22, 2001
AUERBACH, POLLAK & RICHARDSON INC.
April 1, 1993 - October 24, 1996
WALSH MANNING SECURITIES, LLC
October 25, 1991 - February 11, 1993
PRENTICE SECURITIES, INCORPORATED
February 5, 1991 - October 8, 1991
REICH & CO., INC.
July 24, 1990 - February 1, 1991
LAIDLAW GLOBAL SECURITIES, INC.
December 1, 1987 - June 4, 1990
RUTLAND SECURITIES L.P.
May 5, 1986 - December 22, 1987
KUHNS BROTHERS & LAIDLAW, INC.
September 7, 1984 - April 18, 1986
BROADCHILD SECURITIES CORP.
April 26, 1976 - September 11, 1984
ADVEST, INC.
July 8, 1974 - March 29, 1976
THOMSON MCKINNON SECURITIES INC.
May 17, 1974 - August 19, 1975
W. E. HUTTON & CO.
November 5, 1973 - May 22, 1974
ADVEST, INC.
August 29, 1972 - November 1, 1973
PURCELL GRAHAM INCORPORATED
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
PC
Date: 6/9/1986
AMEX Put and Call ExamSeries 1
Date: 8/24/1972
Registered Representative ExaminationCurrent Firm
KUHNS BROTHERS SECURITIES CORPORATION
CRD#: 47331 / SEC#: , 8-51748
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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