Victor Lau
Professional summary
Victor Lau is a registered financial professional currently at CLEAR STREET LLC located in New York, New York.
Victor is registered as a RR (Registered Representative) and started their career in finance in 2004. Victor has worked at 5 firms and has passed the Series 63, Series 99TO, Series 62, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Victor Lau's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 12, 2020 - Present
CLEAR STREET LLC
Office #1: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007Office #2: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007September 30, 2016 - May 19, 2020
E*TRADE SECURITIES LLC
June 19, 2007 - September 30, 2016
E*TRADE CLEARING LLC
November 3, 2006 - May 7, 2007
APEX CLEARING CORPORATION
August 4, 2004 - June 14, 2006
TD AMERITRADE, 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
(5/12/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CLEAR STREET LLC
CRD#: 288933 / SEC#: , 8-69972
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLEAR STREET HOLDINGS LLC | SOLE CLASS A MEMBER | |
| AUSUBEL, ELLI MARK | DIRECTOR | 5715145 |
| COHEN, URIEL EPHRAIM | DIRECTOR | 4089765 |
| HAMMERICH, DALF PAUL | HEAD OF SUPPORT | 4710381 |
| MOCCIA, CHRISTY NOEL | CHIEF COMPLIANCE OFFICER | 4855629 |
| OLIVEIRA, BRIAN | CFO/FINOP/PRINCIPAL FINANCIAL OFFICER | 5371120 |
| SICKLICK, KENNETH | DIRECTOR | 7418830 |
| VOLZ, ANDREW | DIRECTOR, CHIEF EXECUTIVE OFFICER | 4808674 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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