Michael M. 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.
Michael Meng-yang Lai, who also goes by Michael M Lai, Michael Mengyang Lai, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 31 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2016 - August 23, 2016
SCOTTRADE, INC.
January 1, 2005 - June 15, 2006
HSBC SECURITIES (USA) INC.
August 9, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
January 1, 2001 - December 16, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 7, 2000 - December 16, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 6, 2000 - August 28, 2000
U.S. BANCORP ADVISORS, LLC
May 19, 1999 - May 25, 2000
MORGAN STANLEY DW INC.
January 11, 1999 - March 18, 1999
SIMMERS CAPITAL MANAGEMENT CORPORATION
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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
