Anna S. Lui
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.
Anna Shan Lui, who also goes by Anna S Lui, Anna Lui, was a registered financial professional .
Anna is a previously registered financial professional and started their career in finance in 2001. Anna had worked at 4 firms and has passed the Series 63 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
March 23, 2011 - December 10, 2012
STRAUS CAPITAL, LLC
October 28, 2005 - April 9, 2008
MORGAN STANLEY & CO. LLC
May 1, 2001 - April 14, 2004
J.P. MORGAN SECURITIES INC.
January 10, 2001 - May 1, 2001
JPMSI
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
STRAUS CAPITAL, LLC
CRD#: 136093 / SEC#: , 8-66973
Contact information
FINRA licenses (2 States and Territories)
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.
