Johny Y. 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.
Johny Yondar Lau, who also goes by John Y Lau, was a registered financial professional .
Johny is a previously registered financial professional and started their career in finance in 1999. Johny had worked at 6 firms and has passed the Series 63, Series 87, Series 86 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
July 2, 2012 - December 14, 2012
CARIS & COMPANY, INC.
April 11, 2011 - July 19, 2011
CREDIT AGRICOLE SECURITIES (USA) INC.
March 7, 2005 - January 10, 2011
JEFFERIES LLC
August 25, 2003 - March 2, 2005
BANC OF AMERICA SECURITIES LLC
May 6, 2002 - August 29, 2003
RBC CAPITAL MARKETS, LLC
September 24, 1999 - May 8, 2002
SOUNDVIEW TECHNOLOGY 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
CARIS & COMPANY, INC.
CRD#: 104235 / SEC#: , 8-52713
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COX, THOMAS JAMES | CHIEF COMPLIANCE OFFICER | 2594977 |
Disclosures
| Regulatory Event | 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.
